SEC Form 4 · accession 0001209191-18-044795
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sundar Pichai
Officer — CEO, Google LLC · Director
Period of report
Aug 1, 2018
Accepted (ET)
Aug 1, 2018 · 5:57 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 1, 2018 | S | 325 | $1,242.73 | D | 885 | D | |
| Class C Capital StockF1 | Aug 1, 2018 | S | 400 | $1,225.15 | D | 155,569 | D | |
| Class C Capital StockF2 | Aug 1, 2018 | S | 1,891 | $1,226.7213 | D | 153,678 | D | |
| Class C Capital StockF3 | Aug 1, 2018 | S | 2,197 | $1,227.5901 | D | 151,481 | D | |
| Class C Capital StockF4 | Aug 1, 2018 | S | 1,824 | $1,228.7807 | D | 149,657 | D | |
| Class C Capital StockF5 | Aug 1, 2018 | S | 1,982 | $1,229.9591 | D | 147,675 | D | |
| Class C Capital StockF6 | Aug 1, 2018 | S | 692 | $1,230.7581 | D | 146,983 | D | |
| Class C Capital StockF7 | Aug 1, 2018 | S | 389 | $1,232.166 | D | 146,594 | D | |
| Class C Capital StockF8 | Aug 1, 2018 | S | 300 | $1,233.1967 | D | 146,294 | D | |
| Class A Google Stock UnitsF9 | holding | — | — | — | 11,370 | D | ||
| Class C Google Stock UnitsF10 | holding | — | — | — | 11,370 | D | ||
| Class C Google Stock UnitsF11 | holding | — | — | — | 102,498 | 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 StockF12 | $218.5563 | holding | — | — | — | — | Jul 29, 2019 | Class A Common Stock | 2,436 | 2,436 | D |
| Option to Purchase Class A Common StockF12 | $318.2102 | holding | — | — | — | — | Apr 4, 2022 | Class A Common Stock | 8,646 | 8,646 | D |
| Option to Purchase Class A Common StockF12 | $253.6664 | holding | — | — | — | — | Aug 4, 2020 | Class A Common Stock | 1,459 | 1,459 | D |
| Option to Purchase Class C Capital StockF12 | $316.9399 | holding | — | — | — | — | Apr 4, 2022 | Class C Capital Stock | 8,646 | 8,646 | D |
| Option to Purchase Class C Capital StockF12 | $217.6838 | holding | — | — | — | — | Jul 29, 2019 | Class C Capital Stock | 2,436 | 2,436 | D |
| Option to Purchase Class C Capital StockF12 | $252.6537 | holding | — | — | — | — | Aug 4, 2020 | Class C Capital Stock | 1,459 | 1,459 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1,225.15 to $1,226.14, inclusive. The Reporting Person undertakes to provide to any security holder of Alphabet Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (9) to this Form 4.
- F10The 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.
- F111/16th of Class C 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.
- F12Option is fully vested.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,226.20 to $1,227.19, inclusive.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,227.20 to $1,228.19, inclusive.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,228.30 to $1,229.29, inclusive.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,229.42 to $1,230.41, inclusive.
- F6The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,230.57 to $1,231.56, inclusive.
- F7The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,231.78 to $1,232.77, inclusive.
- F8The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,232.90 to $1,233.89, inclusive.
- F9The Class A 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 vests monthly thereafter until the GSUs are fully vested, subject to continued employment on such vesting dates.
Remarks
All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.