SEC Form 4 · accession 0001209191-17-050473
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sundar Pichai
Officer — CEO, Google Inc. · Director
Period of report
Aug 25, 2017
Accepted (ET)
Aug 28, 2017 · 6:43 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 A Common Stock | Aug 25, 2017 | C | 604 | $0.00 | A | 1,993 | D | |
| Class A Google Stock UnitsF2 | Aug 25, 2017 | C | 604 | $0.00 | D | 25,926 | D | |
| Class A Google Stock UnitsF2 | Aug 25, 2017 | F | 660 | $936.89 | D | 25,266 | D | |
| Class C Capital Stock | Aug 25, 2017 | C | 604 | $0.00 | A | 41,306 | D | |
| Class C Google Stock UnitsF4 | Aug 25, 2017 | C | 604 | $0.00 | D | 25,926 | D | |
| Class C Google Stock UnitsF4 | Aug 25, 2017 | F | 660 | $921.28 | D | 25,266 | D | |
| Class C Google Stock UnitsF5 | holding | — | — | — | 170,830 | D | ||
| Class C Google Stock UnitsF6 | 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 StockF7 | $318.2102 | holding | — | — | — | — | Apr 4, 2022 | Class A Common Stock | 8,646 | 8,646 | D |
| Option to Purchase Class A Common StockF7 | $218.5563 | holding | — | — | — | — | Jul 29, 2019 | Class A Common Stock | 2,436 | 2,436 | D |
| Option to Purchase Class A Common StockF7 | $253.6664 | holding | — | — | — | — | Aug 4, 2020 | Class A Common Stock | 1,459 | 1,459 | D |
| Option to Purchase Class C Capital StockF7 | $316.9399 | holding | — | — | — | — | Apr 4, 2022 | Class C Capital Stock | 8,646 | 8,646 | D |
| Option to Purchase Class C Capital StockF7 | $217.6838 | holding | — | — | — | — | Jul 29, 2019 | Class C Capital Stock | 2,436 | 2,436 | D |
| Option to Purchase Class C Capital StockF7 | $252.6537 | holding | — | — | — | — | Aug 4, 2020 | Class C Capital Stock | 1,459 | 1,459 | D |
Explanation of responses
- F1Vesting of Google Stock Units ("GSUs") grant of which was previously reported in Form 4.
- F2The Google Stock Units ("GSUs") entitle the Reporting Person to receive one share of Alphabet Inc. Class A Common Stock for each share underlying the GSU as GSU vests. The GSUs vest as follows: 1/72 of GSUs vested on May 25, 2013 and an additional 1/72 vest monthly thereafter until the GSUs are fully vested, subject to continued employment on such vesting dates.
- F3Shares withheld to satisfy tax obligations arising out of vesting of GSUs.
- F4The Google Stock Units ("GSUs") entitle the Reporting Person to receive one share of Alphabet Inc. Class C Capital Stock for each share underlying the GSU as GSU vests. The GSUs vest as follows: 1/72 of GSUs vested on May 25, 2013 and an additional 1/72 vest monthly thereafter until the GSUs are fully vested, subject to continued employment on such vesting dates.
- F51/16th 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 dates. The Amount of Securities Beneficially Owned Following Reported Transaction was reduced by 6 shares that were inadvertently added in prior Form 4 filings.
- F6100% of the grant will vest on April 25, 2018, subject to continued employment on such date.
- F7Option is fully vested.