SEC Form 4 · accession 0001225208-16-037748
AUTOZONE INC · AZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas B Newbern
Officer — Exec. Vice President
Period of report
Aug 11, 2016
Accepted (ET)
Aug 11, 2016 · 5:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000866787
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 11, 2016 | M | 11,300 | $326.00 | A | 15,977 | D | |
| Common Stock | Aug 11, 2016 | M | 7,050 | $371.47 | A | 23,027 | D | |
| Common Stock | Aug 11, 2016 | M | 4,350 | $425.11 | A | 27,377 | D | |
| Common Stock | Aug 11, 2016 | M | 1,975 | $507.79 | A | 29,352 | D | |
| Common Stock | Aug 11, 2016 | M | 125 | $326.00 | A | 29,477 | D | |
| Common Stock | Aug 11, 2016 | S | 1 | $801.68 | D | 29,476 | D | |
| Common StockF1 | Aug 11, 2016 | S | 600 | $801.1146 | D | 28,876 | D | |
| Common StockF2 | Aug 11, 2016 | S | 16,269 | $799.7767 | D | 12,607 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F3,F4 | $326.00 | Aug 11, 2016 | M | 125 | D | — | Sep 27, 2021 | Common Stock | 125 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3,F5 | $507.79 | Aug 11, 2016 | M | 1,975 | D | — | Sep 24, 2024 | Common Stock | 1,975 | 5,925 | D |
| Non-Qualified Stock Option (right to buy)F3,F4 | $326.00 | Aug 11, 2016 | M | 11,300 | D | — | Sep 28, 2021 | Common Stock | 11,300 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3,F6 | $371.47 | Aug 11, 2016 | M | 7,050 | D | — | Sep 28, 2022 | Common Stock | 7,050 | 2,350 | D |
| Non-Qualified Stock Option (right to buy)F3,F7 | $425.11 | Aug 11, 2016 | M | 4,350 | D | — | Oct 2, 2023 | Common Stock | 4,350 | 4,350 | D |
Explanation of responses
- F1This price represents the weighted average price per share of common Stock of AutoZone, Inc. (the "Issuer"), par value $0.01 per share (each a "Share"), of sales that were executed at prices ranging from $800.69 - $801.66 per Share. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares sold at each price.
- F2This price represents the weighted average price per share of common Stock of AutoZone, Inc. (the "Issuer"), par value $0.01 per share (each a "Share"), of sales that were executed at prices ranging from $799.6633 - $800.66 per Share. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares sold at each price.
- F3Granted in accordance with the AutoZone, Inc. 2011 Equity Incentive Award Plan.
- F4Options exercisable in one-fourth increments on September 27, 2012, 2013, 2014 and 2015, respectively.
- F5Options exercisable in one-fourth increments on September 23, 2015, 2016, 2017 and 2018, respectively.
- F6Options exercisable in one-fourth increments on September 27, 2013, 2014, 2015 and 2016, respectively.
- F7Options exercisable in one-fourth increments on October 1, 2014, 2015, 2016 and 2017, respectively.