SEC Form 4 · accession 0001225208-18-016333
AUTOZONE INC · AZO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A. Finestone
Officer — Exec. Vice President
Period of report
Dec 6, 2018
Accepted (ET)
Dec 7, 2018 · 4:17 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 6, 2018 | M | 11,800 | $326.00 | A | 13,119 | D | |
| Common StockF1 | Dec 6, 2018 | S | 730 | $866.278 | D | 12,389 | D | |
| Common StockF2 | Dec 6, 2018 | S | 850 | $873.3132 | D | 11,539 | D | |
| Common StockF3 | Dec 6, 2018 | S | 1,745 | $864.5844 | D | 9,794 | D | |
| Common StockF4 | Dec 6, 2018 | S | 1,805 | $876.3734 | D | 7,989 | D | |
| Common StockF5 | Dec 6, 2018 | S | 3,300 | $875.9395 | D | 4,689 | D | |
| Common StockF6 | Dec 6, 2018 | S | 3,370 | $865.65 | D | 1,319 | D | |
| Common Stock | holding | — | — | — | 930 | I | By GRAT | |
| Common Stock | holding | — | — | — | 1,645 | I | By GRAT #2 | |
| Common Stock | holding | — | — | — | 51 | I | By Trust for Daughter | |
| Common Stock | holding | — | — | — | 51 | I | By Trust for Son |
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)F7,F8 | $326.00 | Dec 6, 2018 | M | 11,800 | D | — | Sep 28, 2021 | Common Stock | 11,800 | 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 $866.12 - $866.38 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 $872.98 - $873.91 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 $864.05 - $865.04 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 $876.34 - $876.99 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 $875.25 - $876.22 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.
- 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 $865.12 - $866.10 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.
- F7Granted in accordance with the AutoZone, Inc. 2011 Equity Incentive Award Plan.
- F8Options exercisable in one-fourth increments on September 27, 2012, 2013, 2014 and 2015, respectively.