SEC Form 4 · accession 0001209191-17-032598
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
May 15, 2017
Accepted (ET)
May 16, 2017 · 3:27 pm EDT
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 Capital StockF1 | May 15, 2017 | S | 300 | $930.7467 | D | 875,350 | I | Vallejo Ventures Trust |
| Class C Capital StockF2 | May 15, 2017 | S | 299 | $932.9401 | D | 875,051 | I | Vallejo Ventures Trust |
| Class C Capital StockF3 | May 15, 2017 | S | 1,478 | $934.0033 | D | 873,573 | I | Vallejo Ventures Trust |
| Class C Capital StockF4 | May 15, 2017 | S | 1,100 | $935.1591 | D | 872,473 | I | Vallejo Ventures Trust |
| Class C Capital StockF5 | May 15, 2017 | S | 4,879 | $935.9904 | D | 867,594 | I | Vallejo Ventures Trust |
| Class C Capital StockF6 | May 15, 2017 | S | 4,899 | $937.1518 | D | 862,695 | I | Vallejo Ventures Trust |
| Class C Capital StockF7 | May 15, 2017 | S | 400 | $935.7525 | D | 862,295 | I | Vallejo Ventures Trust |
| Class A Common Stock | holding | — | — | — | 3,468 | D | ||
| Class A Google Stock UnitsF8 | holding | — | — | — | 17 | D | ||
| Class C Capital Stock | holding | — | — | — | 4,356 | D | ||
| Class C Google Stock UnitsF9 | holding | — | — | — | 175 | D | ||
| Class C Google Stock UnitsF8 | holding | — | — | — | 17 | D | ||
| Class C Google Stock UnitsF10 | holding | — | — | — | 400 | D | ||
| Class C Google Stock UnitsF11 | holding | — | — | — | 365 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF12,F13 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,117,447 | 1,117,447 | I |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $930.53 to $931.52, inclusive. The Reporting Person undertakes to provide to any security holder of Alphabet Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (7) to this Form 4.
- F101/48th of GSUs vested on July 25, 2016 and an additional 1/48th of GSUs will vest monthly thereafter until the GSUs are fully vested, subject to continued service on such vesting dates.
- F111/48th of GSUs vested on July 25, 2015 and an additional 1/48th of GSUs will vest monthly thereafter until the GSUs are fully vested, subject to continued service on such vesting dates.
- F12All shares are exercisable as of the transaction date.
- F13There is no expiration date for the Issuer's Class B Common Stock.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $932.48 to $933.47, inclusive.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $933.49 to $934.48, inclusive.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $934.55 to $935.54, inclusive.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $935.55 to $936.54, inclusive.
- F6The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $936.60 to $937.59, inclusive.
- F7The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $937.70 to $938.69, inclusive.
- F81/48th of the grant vested on July 25, 2013 and an additional 1/48th will vest monthly on the 25th day of each month thereafter, subject to continued service on the Board on the applicable vesting dates.
- F91/48th of the grant vested on June 25, 2014 and an additional 1/48th will vest on the 25th day of each month thereafter, subject to continued service on the Board on such vesting dates.
Remarks
All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.