SEC Form 4 · accession 0001209191-17-049913
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric E Schmidt
Officer — Executive Chairman · Director
Period of report
Aug 22, 2017
Accepted (ET)
Aug 23, 2017 · 2:40 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 Stock | Aug 22, 2017 | G | 400 | $0.00 | D | 2,393,558 | I | By The Schmidt Family Living Trust |
| Class A Common Stock | Aug 22, 2017 | C | 400 | $0.00 | A | 400 | I | By The Schmidt Family Living Trust |
| Class A Common Stock | Aug 22, 2017 | G | 400 | $0.00 | D | 0 | I | By The Schmidt Family Living Trust |
| Class C Capital Stock | holding | — | — | — | 1,274,076 | D | ||
| Class C Google Stock UnitsF1 | holding | — | — | — | 38,440 | D | ||
| Class C Capital Stock | holding | — | — | — | 518,624 | I | By The Schmidt Investments LP Fund II | |
| Class C Capital Stock | holding | — | — | — | 134,731 | I | By The Schmidt Investments, LP | |
| Class A Google Stock UnitsF1 | holding | — | — | — | 38,440 | D | ||
| Class A Common Stock | holding | — | — | — | 76,243 | 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 StockF2,F3 | $0.00 | Aug 22, 2017 | C | 400 | D | — | — | Class A Common Stock | 400 | 2,386,799 | I |
| Option to Purchase Class A Common StockF4 | $306.612 | holding | — | — | — | — | Feb 2, 2021 | Class A Common Stock | 181,840 | 181,840 | D |
| Option to Purchase Class C Capital StockF4 | $305.388 | holding | — | — | — | — | Feb 2, 2021 | Class C Capital Stock | 181,840 | 181,840 | D |
| Class B Common StockF2,F3 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,194,309 | 1,194,309 | D |
| Class B Common StockF2,F3 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 134,731 | 134,731 | I |
| Class B Common StockF2,F3 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 599,723 | 599,723 | I |
Explanation of responses
- F1This grant vests as follow: 1/16th of the grant vested on May 25, 2015, and an additional 1/16th vests quarterly on the 25th day of the month until GSUs are fully vested, subject to continued employment on such vesting dates.
- F2All shares are exercisable as of the transaction date.
- F3There is no expiration date for the Issuer's Class B Common Stock.
- F4Option is fully vested.