SEC Form 4 · accession 0001209191-17-063297
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 30, 2017
Accepted (ET)
Dec 1, 2017 · 6:17 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 30, 2017 | G | 46,997 | $0.00 | D | 34,497 | D | |
| Class C Capital Stock | Nov 30, 2017 | G | 9,506 | $0.00 | D | 125,225 | I | By The Schmidt Investments, LP |
| Class C Capital Stock | Nov 30, 2017 | G | 27,003 | $0.00 | D | 491,621 | I | By The Schmidt Investments LP Fund II |
| Class A Common Stock | Nov 30, 2017 | C | 27,003 | $0.00 | A | 27,003 | I | By The Schmidt Investment L.P. Fund II |
| Class A Common Stock | Nov 30, 2017 | G | 27,003 | $0.00 | D | 0 | I | By The Schmidt Investment L.P. Fund II |
| Class A Common Stock | Nov 30, 2017 | C | 1,454 | $0.00 | A | 1,454 | I | By The Schmidt Investment L.P. Fund |
| Class A Common Stock | Nov 30, 2017 | G | 1,454 | $0.00 | D | 0 | I | By The Schmidt Investment L.P. Fund |
| Class A Google Stock UnitsF1 | holding | — | — | — | 27,457 | D | ||
| Class C Capital Stock | holding | — | — | — | 2,393,558 | I | By The Schmidt Family Living Trust | |
| Class C Capital Stock | holding | — | — | — | 1,279,327 | D | ||
| Class C Google Stock UnitsF2 | holding | — | — | — | 27,457 | 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 StockF3,F4 | $0.00 | Nov 30, 2017 | C | 1,454 | D | — | — | Class A Common Stock | 1,454 | 133,277 | I |
| Class B Common StockF3,F4 | $0.00 | Nov 30, 2017 | C | 27,003 | D | — | — | Class A Common Stock | 27,003 | 572,720 | I |
| Class B Common StockF3,F4 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,194,309 | 1,194,309 | D |
| Class B Common StockF3,F4 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 2,386,799 | 2,386,799 | I |
| Option to Purchase Class A Common StockF5 | $306.612 | holding | — | — | — | — | Feb 2, 2021 | Class A Common Stock | 181,840 | 181,840 | D |
| Option to Purchase Class C Capital StockF5 | $305.388 | holding | — | — | — | — | Feb 2, 2021 | Class C Capital Stock | 181,840 | 181,840 | D |
Explanation of responses
- F1The 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.
- 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.
- F3All shares are exercisable as of the transaction date.
- F4There is no expiration date for the Issuer's Class B Common Stock.
- F5Option is fully vested.