SEC Form 4 · accession 0001209191-17-062758
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
Nov 28, 2017
Accepted (ET)
Nov 28, 2017 · 7:24 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 A Common Stock | Nov 27, 2017 | C | 604 | $0.00 | A | 1,553 | D | |
| Class A Google Stock UnitsF2 | Nov 27, 2017 | C | 604 | $0.00 | D | 22,136 | D | |
| Class A Google Stock UnitsF2 | Nov 27, 2017 | F | 660 | $1,056.52 | D | 21,476 | D | |
| Class C Capital Stock | Nov 27, 2017 | C | 604 | $0.00 | A | 29,535 | D | |
| Class C Google Stock UnitsF4 | Nov 27, 2017 | C | 604 | $0.00 | D | 22,136 | D | |
| Class C Google Stock UnitsF4 | Nov 27, 2017 | F | 660 | $1,040.61 | D | 21,476 | D | |
| Class C Google Stock UnitsF5 | holding | — | — | — | 353,939 | D | ||
| Class C Google Stock UnitsF6 | holding | — | — | — | 153,747 | 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 Class A 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 Class C 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.
- F5100% of the grant will vest on April 25, 2018, subject to continued employment on such date.
- F61/16th of the 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 continuing employment on such vesting dates.
- F7Option is fully vested.