SEC Form 4 · accession 0001225208-18-015132
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
Nov 2, 2018
Accepted (ET)
Nov 2, 2018 · 4:30 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 | Nov 2, 2018 | M | 2,360 | $507.79 | A | 2,737 | D | |
| Common Stock | Nov 2, 2018 | M | 1,550 | $425.11 | A | 4,287 | D | |
| Common Stock | Nov 2, 2018 | M | 1,477 | $587.13 | A | 5,764 | D | |
| Common StockF1 | Nov 2, 2018 | S | 1,458 | $752.1064 | D | 4,306 | D | |
| Common StockF2 | Nov 2, 2018 | S | 3,929 | $750.877 | D | 377 | 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)F3,F4 | $507.79 | Nov 2, 2018 | M | 2,360 | D | — | Sep 24, 2024 | Common Stock | 2,360 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5,F6 | $587.13 | Nov 2, 2018 | M | 1,477 | D | — | Sep 27, 2027 | Common Stock | 1,477 | 4,433 | D |
| Non-Qualified Stock Option (right to buy)F3,F7 | $425.11 | Nov 2, 2018 | M | 1,550 | D | — | Oct 2, 2023 | Common Stock | 1,550 | 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 $751.9757 - $752.2657 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 $750.8461 - $751.4057 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 23, 2015, 2016, 2017 and 2018, respectively.
- F5Granted in accordance with the Amended and Restated AutoZone, Inc. 2011 Equity Incentive Award Plan.
- F6Options exercisable in one-fourth increments on September 26, 2018, 2019, 2020 and 2021, respectively.
- F7Options exercisable in one-fourth increments on October 1, 2014, 2015, 2016 and 2017, respectively.