SEC Form 4 · accession 0001225208-16-042918
AUTOZONE INC · AZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Pleas III
Officer — Sr. VP & Controller
Period of report
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 5:51 pm EST
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 | Dec 7, 2016 | M | 5,600 | $130.79 | A | 9,722 | D | |
| Common Stock | Dec 7, 2016 | M | 250 | $326.00 | A | 9,972 | D | |
| Common StockF1 | Dec 7, 2016 | S | 5,600 | $808.7506 | D | 4,372 | 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)F2,F3 | $326.00 | Dec 7, 2016 | M | 250 | D | — | Sep 27, 2021 | Common Stock | 250 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4,F5 | $130.79 | Dec 7, 2016 | M | 5,600 | D | — | Sep 23, 2018 | Common Stock | 5,600 | 0 | 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 $808.37 - $808.77 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.
- F2Granted in accordance with the AutoZone, Inc. 2011 Equity Incentive Award Plan.
- F3Options exercisable in one-fourth increments on September 27, 2012, 2013, 2014 and 2015, respectively.
- F4Granted in accordance with the AutoZone, Inc. 2006 Stock Option Plan.
- F5Options exercisable in one-fourth increments on September 22, 2009, 2010, 2011 and 2012, respectively.