SEC Form 4 · accession 0001209191-18-046893
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L John Doerr
Director
Period of report
Aug 15, 2018
Accepted (ET)
Aug 15, 2018 · 7:00 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 C Capital StockF1 | Aug 15, 2018 | S | 700 | $1,211.5743 | D | 812,665 | I | Vallejo Ventures Trust |
| Class C Capital StockF2 | Aug 15, 2018 | S | 732 | $1,212.8609 | D | 811,933 | I | Vallejo Ventures Trust |
| Class C Capital StockF3 | Aug 15, 2018 | S | 1,580 | $1,214.1206 | D | 810,353 | I | Vallejo Ventures Trust |
| Class C Capital StockF4 | Aug 15, 2018 | S | 1,120 | $1,215.0992 | D | 809,233 | I | Vallejo Ventures Trust |
| Class C Capital StockF5 | Aug 15, 2018 | S | 1,180 | $1,216.2208 | D | 808,053 | I | Vallejo Ventures Trust |
| Class C Capital StockF6 | Aug 15, 2018 | S | 1,231 | $1,217.1925 | D | 806,822 | I | Vallejo Ventures Trust |
| Class C Capital StockF7 | Aug 15, 2018 | S | 970 | $1,217.9212 | D | 805,352 | I | Vallejo Ventures Trust |
| Class C Capital StockF8 | Aug 15, 2018 | S | 500 | $1,219.376 | D | 806,322 | I | Vallejo Ventures Trust |
| Class C Capital StockF9 | Aug 15, 2018 | S | 249 | $1,220.5261 | D | 805,103 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Aug 15, 2018 | S | 100 | $1,221.22 | D | 805,003 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Aug 15, 2018 | S | 100 | $1,222.74 | D | 804,903 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Aug 15, 2018 | S | 100 | $1,225.15 | D | 804,803 | I | Vallejo Ventures Trust |
| Class C Capital StockF10 | Aug 15, 2018 | S | 300 | $1,226.8267 | D | 804,503 | I | Vallejo Ventures Trust |
| Class C Capital StockF11 | Aug 15, 2018 | S | 400 | $1,228.365 | D | 804,103 | I | Vallejo Ventures Trust |
| Class C Capital StockF12 | Aug 15, 2018 | S | 400 | $1,229.385 | D | 803,703 | I | Vallejo Ventures Trust |
| Class C Capital StockF13 | Aug 15, 2018 | S | 200 | $1,230.75 | D | 803,503 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Aug 15, 2018 | S | 200 | $1,232.46 | D | 803,303 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Aug 15, 2018 | S | 100 | $1,233.52 | D | 803,203 | I | Vallejo Ventures Trust |
| Class C Capital Stock | Aug 15, 2018 | S | 100 | $1,235.08 | D | 803,103 | I | Vallejo Ventures Trust |
| Class A Common Stock | holding | — | — | — | 3,485 | D | ||
| Class A Common Stock | holding | — | — | — | 118,653 | I | The Benificus Foundation | |
| Class C Capital Stock | holding | — | — | — | 106,356 | I | The Benificus Foundation | |
| Class C Capital Stock | holding | — | — | — | 5,027 | D | ||
| Class C Google Stock UnitsF14 | holding | — | — | — | 298 | D | ||
| Class C Google Stock UnitsF15 | holding | — | — | — | 242 | D | ||
| Class C Google Stock UnitsF16 | holding | — | — | — | 155 | D | ||
| Class C Google Stock UnitsF17 | holding | — | — | — | 286 | 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 StockF18,F19 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 1,117,447 | 1,117,447 | I |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,211.06 to $1,212.05, 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 (13) to this Form 4.
- F10The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,226.58 to $1,227.57, inclusive.
- F11The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,227.81 to $1,228.80, inclusive.
- F12The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,229.05 to $1,230.04, inclusive.
- F13The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,230.35 to $1,231.34, inclusive.
- F14The Google Stock Units (GSU) entitle the Reporting Person to receive one share of Alphabet Inc. Class C Capital Stock for each share underlying the GSU as GSU vests. 1/48th of GSU grant will vest on July 25, 2018 and an additional 1/48th will vest monthly on the 25th day of each month thereafter, subject to continued service on the Board on the applicable vesting dates.
- F151/48th of GSUs vested on July 25, 2016 and an additional 1/48th of GSUs will vest monthly thereafter until the GSUs are fully vested, subject to continued service on the Board on the applicable vesting dates.
- F161/48th of GSUs vested on July 25, 2015 and an additional 1/48th of GSUs will vest monthly thereafter until the GSUs are fully vested, subject to continued service on the Board on the applicable vesting dates.
- F171/48th of GSU grant vested on July 25, 2017 and an additional 1/48th will vest monthly on the 25th day of each month thereafter, subject to continued service on the Board on the applicable vesting dates.
- F18All shares are exercisable as of the transaction date.
- F19There is no expiration date for the Issuer's Class B Common Stock.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,212.47 to $1,213.46, inclusive.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,213.49 to $1,214.48, inclusive.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,214.67 to $1,215.66, inclusive.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,215.72 to $1,216.71, inclusive.
- F6The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,216.74 to $1,217.73, inclusive.
- F7The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,217.74 to $1,218.73, inclusive.
- F8The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,218.95 to $1,219.94, inclusive.
- F9The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,220.00 to $1,220.99, inclusive.
Remarks
All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.