SEC Form 4 · accession 0001209191-17-062764
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
Nov 28, 2017
Accepted (ET)
Nov 28, 2017 · 8:34 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 | 2,626 | $0.00 | A | 81,494 | D | |
| Class C Capital Stock | Nov 27, 2017 | C | 2,626 | $0.00 | A | 1,279,327 | D | |
| Class C Google Stock UnitsF2 | Nov 27, 2017 | C | 2,626 | $0.00 | D | 30,323 | D | |
| Class C Google Stock UnitsF2 | Nov 27, 2017 | F | 2,866 | $1,040.61 | D | 27,457 | D | |
| Class A Google Stock UnitsF4 | Nov 27, 2017 | C | 2,626 | $0.00 | D | 30,323 | D | |
| Class A Google Stock UnitsF4 | Nov 27, 2017 | F | 2,866 | $1,056.52 | D | 27,457 | D | |
| Class C Capital Stock | holding | — | — | — | 134,731 | I | By The Schmidt Investments, LP | |
| Class C Capital Stock | holding | — | — | — | 518,624 | I | By The Schmidt Investments LP Fund II | |
| Class C Capital Stock | holding | — | — | — | 2,393,558 | I | By The Schmidt Family Living Trust |
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 StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,194,309 | 1,194,309 | D |
| Class B Common StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 134,731 | 134,731 | I |
| Class B Common StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 599,723 | 599,723 | I |
| Class B Common StockF5,F6 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 2,386,799 | 2,386,799 | I |
| Option to Purchase Class A Common StockF7 | $306.612 | holding | — | — | — | — | Feb 2, 2021 | Class A Common Stock | 181,840 | 181,840 | D |
| Option to Purchase Class C Capital StockF7 | $305.388 | holding | — | — | — | — | Feb 2, 2021 | Class C Capital Stock | 181,840 | 181,840 | 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 C Common Stock for each share underlying the GSU as GSU vests. The GSUs vest as follows: 1/16th of the GSUs vested on May 25, 2015 and an additional 1/16th will vest quarterly 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 A Common Stock for each share underlying the GSU as GSU vests. The GSUs vest as follows: 1/16th of the GSUs vested on May 25, 2015 and an additional 1/16th will vest quarterly thereafter until the units are fully vested, subject to continued employment on such vesting dates.
- F5All shares are exercisable as of the transaction date.
- F6There is no expiration date for the Issuer's Class B Common Stock.
- F7Option is fully vested.