SEC Form 4 · accession 0001209191-18-064217
Alphabet Inc. · GOOGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric E Schmidt
Director
Period of report
Dec 27, 2018
Accepted (ET)
Dec 27, 2018 · 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 | Dec 27, 2018 | G | 24,821 | $0.00 | D | 16,113 | D | |
| Class C Capital Stock | Dec 27, 2018 | G | 3,841 | $0.00 | D | 121,059 | I | By Schmidt Investments, L.P. |
| Class C Capital Stock | Dec 27, 2018 | G | 23,002 | $0.00 | D | 275,509 | I | By Schmidt Investments, L.P. Fund II |
| Class A Common Stock | Dec 27, 2018 | C | 20,234 | $0.00 | A | 20,234 | I | By Schmidt Investments, L.P. Fund II |
| Class A Common Stock | Dec 27, 2018 | G | 20,234 | $0.00 | D | 0 | I | By Schmidt Investments, L.P. Fund II |
| Class A Common Stock | Dec 27, 2018 | C | 3,841 | $0.00 | A | 3,841 | I | By Schmidt Investments, L.P. |
| Class A Common Stock | Dec 27, 2018 | G | 3,841 | $0.00 | D | 0 | I | By Schmidt Investments, L.P. |
| Class A Google Stock UnitsF1 | holding | — | — | — | 5,492 | D | ||
| Class C Capital Stock | holding | — | — | — | 2,393,249 | I | By The Schmidt Family Living Trust | |
| Class C Capital Stock | holding | — | — | — | 1,290,533 | D | ||
| Class C Google Stock UnitsF2 | holding | — | — | — | 5,492 | 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 | Dec 27, 2018 | C | 3,841 | D | — | — | Class A Common Stock | 3,841 | 129,111 | I |
| Class B Common StockF3,F4 | $0.00 | Dec 27, 2018 | C | 20,234 | D | — | — | Class A Common Stock | 20,234 | 370,440 | 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 | 2,386,490 | 2,386,490 | 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
- F1Class 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: 1/16th 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.
- F2Class C 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.