SEC Form 4 · accession 0001209191-18-057906

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

Nov 7, 2018

Accepted (ET)

Nov 9, 2018 · 2:29 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
Class A Common Stock	Nov 7, 2018	S	325	$1,085.00	D	844	D
Class C Capital Stock^F1	Nov 7, 2018	S	600	$1,067.2217	D	107,841	D
Class C Capital Stock^F2	Nov 7, 2018	S	1,000	$1,068.719	D	106,841	D
Class C Capital Stock^F3	Nov 7, 2018	S	600	$1,069.81	D	106,241	D
Class C Capital Stock^F4	Nov 7, 2018	S	1,400	$1,071.565	D	104,841	D
Class C Capital Stock^F5	Nov 7, 2018	S	2,851	$1,072.3763	D	101,990	D
Class C Capital Stock^F6	Nov 7, 2018	S	500	$1,073.822	D	101,490	D
Class C Capital Stock^F7	Nov 7, 2018	S	400	$1,074.8475	D	101,090	D
Class C Capital Stock^F8	Nov 7, 2018	S	224	$1,075.7795	D	100,866	D
Class C Capital Stock^F9	Nov 7, 2018	S	700	$1,077.3486	D	100,166	D
Class C Capital Stock^F10	Nov 7, 2018	S	800	$1,077.9525	D	99,366	D
Class C Capital Stock^F11	Nov 7, 2018	S	600	$1,078.8333	D	98,766	D
Class A Google Stock Units^F12	holding	—	—		—	7,580	D
Class C Google Stock Units^F13	holding	—	—		—	85,415	D
Class C Google Stock Units^F14	holding	—	—		—	7,580	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 C Capital Stock^F15	$217.6838	holding	—	—	—	—	Jul 29, 2019	Class C Capital Stock	2,436	2,436	D
Option to Purchase Class C Capital Stock^F15	$316.9399	holding	—	—	—	—	Apr 4, 2022	Class C Capital Stock	8,646	8,646	D
Option to Purchase Class A Common Stock^F15	$253.6664	holding	—	—	—	—	Aug 4, 2020	Class A Common Stock	1,459	1,459	D
Option to Purchase Class A Common Stock^F15	$218.5563	holding	—	—	—	—	Jul 29, 2019	Class A Common Stock	2,436	2,436	D
Option to Purchase Class A Common Stock^F15	$318.2102	holding	—	—	—	—	Apr 4, 2022	Class A Common Stock	8,646	8,646	D
Option to Purchase Class C Capital Stock^F15	$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 $1,067.13 to $1,068.12, 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 (11) 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 $1,077.62 to $1,078.61, inclusive.
F11The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,078.77 to $1,079.76, inclusive.
F12The 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 vests monthly thereafter until the GSUs are fully vested, subject to continued employment on such vesting dates.
F131/16th 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.
F14The 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.
F15Option 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 $1,068.49 to $1,069.48, inclusive.
F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,069.81 to $1,070.80, inclusive.
F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,070.93 to $1,071.92, inclusive.
F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,071.94 to $1,072.93, inclusive.
F6The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,073.13 to $1,074.12, inclusive.
F7The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,074.35 to $1,075.34, inclusive.
F8The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,075.47 to $1,076.46, inclusive.
F9The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1,076.62 to $1,077.61, inclusive.

Remarks

All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.