SEC Form 4 · accession 0001127602-16-071047
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sundar Pichai
Officer — CEO, Google Inc.
Period of report
Dec 27, 2016
Accepted (ET)
Dec 29, 2016 · 6:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652044
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class C Google Stock UnitF1 | Dec 27, 2016 | C | 8,169 | $0.00 | D | 213,910 | D | |
| Class C Capital Stock | Dec 27, 2016 | C | 8,169 | $0.00 | A | 44,301 | D | |
| Class C Google Stock UnitF1 | Dec 27, 2016 | F | 8,914 | $789.91 | D | 204,996 | D | |
| Class C Google Stock UnitF4 | Dec 27, 2016 | C | 11,908 | $0.00 | D | 12,995 | D | |
| Class C Capital Stock | Dec 27, 2016 | C | 11,908 | $0.00 | A | 56,209 | D | |
| Class C Google Stock UnitF4 | Dec 27, 2016 | F | 12,995 | $789.91 | D | 0 | D | |
| Class A Google Stock UnitF5 | Dec 27, 2016 | C | 603 | $0.00 | D | 36,033 | D | |
| Class A Common Stock | Dec 27, 2016 | C | 603 | $0.00 | A | 3,166 | D | |
| Class A Google Stock UnitF5 | Dec 27, 2016 | F | 660 | $807.80 | D | 35,373 | D | |
| Class C Google Stock UnitF5 | Dec 27, 2016 | C | 603 | $0.00 | D | 36,033 | D | |
| Class C Capital Stock | Dec 27, 2016 | C | 603 | $0.00 | A | 56,812 | D | |
| Class C Google Stock UnitF5 | Dec 27, 2016 | F | 660 | $789.91 | D | 35,373 | D | |
| Class C Google Stock UnitF6 | holding | — | — | — | 44,243 | D | ||
| Class C Google Stock UnitF7 | holding | — | — | — | 353,939 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option To Purchase Class A Common StockF8 | $318.2102 | holding | — | — | — | — | Apr 4, 2022 | Class A Common Stock | 8,646 | 8,646 | D |
| Option To Purchase Class A Common StockF8 | $218.5563 | holding | — | — | — | — | Jul 29, 2019 | Class A Common Stock | 2,436 | 2,436 | D |
| Option To Purchase Class A Common StockF8 | $253.6664 | holding | — | — | — | — | Aug 4, 2020 | Class A Common Stock | 1,459 | 1,459 | D |
| Option to Purchase Class C Capital StockF8 | $316.9399 | holding | — | — | — | — | Apr 4, 2022 | Class C Capital Stock | 8,646 | 8,646 | D |
| Option to Purchase Class C Capital StockF8 | $217.6838 | holding | — | — | — | — | Jul 29, 2019 | Class C Capital Stock | 2,436 | 2,436 | D |
| Option to Purchase Class C Capital StockF8 | $252.6537 | holding | — | — | — | — | Aug 4, 2020 | Class C Capital Stock | 1,459 | 1,459 | D |
Explanation of responses
- F11/16th of GSUs vested on March 25, 2016 and an additional 1/16th will vest quarterly on the 25th day of the month until the GSUs are fully vested, subject to continued employment on such vesting dates.
- F2Vesting of GSUs grant of which was previously reported in Form 4.
- F3Shares withheld to satisfy tax obligations arising out of vesting of GSUs.
- F4The GSUs vest at a rate of 1/8th per quarter, subject to continued employment on the applicable vesting dates.
- F5The GSUs vest at a rate of 1/72 per month, subject to continued employment on the applicable vesting dates.
- F650% of the grant vested on April 25, 2016 and 50% of the grant will vest on April 25, 2017, subject to continued employment on such date.
- F7100% of the grant will vest on April 25, 2018, subject to continued employment on such date.
- F8Option is fully vested.