SEC Form 4 · accession 0001225208-16-042919
AUTOZONE INC · AZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William C Rhodes III
Officer — Chairman, President & CEO · Director
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 | 32,000 | $130.79 | A | 50,129 | D | |
| Common Stock | Dec 7, 2016 | S | 100 | $805.81 | D | 50,029 | D | |
| Common Stock | Dec 7, 2016 | S | 100 | $800.12 | D | 49,929 | D | |
| Common Stock | Dec 7, 2016 | S | 100 | $794.01 | D | 49,829 | D | |
| Common StockF1 | Dec 7, 2016 | S | 100 | $787.2669 | D | 49,729 | D | |
| Common StockF2 | Dec 7, 2016 | S | 159 | $799.3635 | D | 49,570 | D | |
| Common StockF3 | Dec 7, 2016 | S | 172 | $802.357 | D | 49,398 | D | |
| Common StockF4 | Dec 7, 2016 | S | 812 | $808.0142 | D | 48,586 | D | |
| Common StockF5 | Dec 7, 2016 | S | 812 | $807.0896 | D | 47,774 | D | |
| Common StockF6 | Dec 7, 2016 | S | 896 | $788.8228 | D | 46,878 | D | |
| Common StockF7 | Dec 7, 2016 | S | 1,423 | $804.5403 | D | 45,455 | D | |
| Common StockF8 | Dec 7, 2016 | S | 1,917 | $804.0378 | D | 43,538 | D | |
| Common StockF9 | Dec 7, 2016 | S | 11,450 | $790.1593 | D | 32,088 | D | |
| Common StockF10 | Dec 7, 2016 | S | 13,959 | $791.009 | D | 18,129 | D | |
| Common Stock | holding | — | — | — | 847 | I | As Custodian for Daughter | |
| Common Stock | holding | — | — | — | 847 | I | As Custodian for Son | |
| Common Stock | holding | — | — | — | 81 | I | As Trustee for Daughter's Trust | |
| Common Stock | holding | — | — | — | 81 | I | As Trustee for Son's trust | |
| Common Stock | holding | — | — | — | 9,000 | I | By GRAT | |
| Common Stock | holding | — | — | — | 15,834 | I | By Trust for Wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F11,F12 | $130.79 | Dec 7, 2016 | M | 32,000 | D | — | Sep 23, 2018 | Common Stock | 32,000 | 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 $787.22 - $788.01 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.
- F10This 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 $790.54 - $791.435 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.
- F11Granted in accordance with the AutoZone, Inc. 2006 Stock Option Plan.
- F12Options exercisable in one-fourth increments on September 22, 2009, 2010, 2011 and 2012, respectively.
- 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 $798.81 - $799.69 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.
- F3This 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 $802.29 - $802.45 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.
- F4This 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 $808.00 - $808.065 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.
- F5This 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 $807.00 - $807.47 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.
- F6This 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 $788.39 - $789.22 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.
- F7This 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 $804.42 - $804.77 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.
- F8This 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 $803.34 - $804.22 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.
- F9This 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 $789.54 - $790.53 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.