SEC Form 4 · accession 0001225208-17-006661
AUTOZONE INC · AZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney C. Halsell
Officer — Sr. Vice President
Period of report
Mar 21, 2017
Accepted (ET)
Mar 21, 2017 · 4:40 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 | Mar 21, 2017 | M | 3,600 | $142.77 | A | 3,966 | D | |
| Common Stock | Mar 21, 2017 | M | 3,300 | $225.74 | A | 7,266 | D | |
| Common Stock | Mar 21, 2017 | M | 3,200 | $371.47 | A | 10,466 | D | |
| Common Stock | Mar 21, 2017 | M | 3,200 | $326.00 | A | 13,666 | D | |
| Common Stock | Mar 21, 2017 | M | 1,000 | $425.11 | A | 14,666 | D | |
| Common StockF1 | Mar 21, 2017 | S | 415 | $725.9482 | D | 14,251 | D | |
| Common StockF2 | Mar 21, 2017 | S | 6,897 | $725.0225 | D | 7,354 | D | |
| Common StockF3 | Mar 21, 2017 | S | 6,988 | $723.9902 | D | 366 | D |
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)F4,F5 | $326.00 | Mar 21, 2017 | M | 3,200 | D | — | Sep 28, 2021 | Common Stock | 3,200 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4,F6 | $371.47 | Mar 21, 2017 | M | 3,200 | D | — | Sep 28, 2022 | Common Stock | 3,200 | 0 | D |
| Non-Qualified Stock Option (right to buy)F7,F8 | $225.74 | Mar 21, 2017 | M | 3,300 | D | — | Sep 29, 2020 | Common Stock | 3,300 | 0 | D |
| Non-Qualified Stock Option (right to buy)F7,F9 | $142.77 | Mar 21, 2017 | M | 3,600 | D | — | Sep 30, 2019 | Common Stock | 3,600 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4,F10 | $425.11 | Mar 21, 2017 | M | 1,000 | D | — | Oct 2, 2023 | Common Stock | 1,000 | 1,550 | 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 $725.75 - $726.135 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.
- F10Options exercisable in one-fourth increments on October 1, 2014, 2015, 2016 and 2017, 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 $724.75 - $725.60 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 $723.67 - $724.65 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.
- F4Granted in accordance with the AutoZone, Inc. 2011 Equity Incentive Award Plan.
- F5Options exercisable in one-fourth increments on September 27, 2012, 2013, 2014 and 2015, respectively.
- F6Options exercisable in one-fourth increments on September 27, 2013, 2014, 2015 and 2016, respectively.
- F7Granted in accordance with the AutoZone, Inc. 2006 Stock Option Plan.
- F8Options exercisable in one-fourth increments on September 28, 2011, 2012, 2013 and 2014, respectively.
- F9Options exercisable in one-fourth increments on September 29, 2010, 2011, 2012 and 2013, respectively.