Statement of Changes in Beneficial Ownership (4)
June 11 2021 - 4:44PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Brin Sergey |
2. Issuer Name and Ticker or Trading Symbol
Alphabet Inc.
[
GOOG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALPHABET INC., 1600 AMPHITHEATRE PKWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2021 |
(Street)
MOUNTAIN VIEW, CA 94043
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock (1) | 6/9/2021 | | C | | 13889 | A | $0.00 | 13889 | D | |
Class A Common Stock | 6/9/2021 | | S | | 200 | D | $2398.36 (2) | 13689 | D | |
Class A Common Stock | 6/9/2021 | | S | | 300 | D | $2399.4433 (3) | 13389 | D | |
Class A Common Stock | 6/9/2021 | | S | | 610 | D | $2400.7644 (4) | 12779 | D | |
Class A Common Stock | 6/9/2021 | | S | | 548 | D | $2402.23 (5) | 12231 | D | |
Class A Common Stock | 6/9/2021 | | S | | 3325 | D | $2404.2229 (6) | 8906 | D | |
Class A Common Stock | 6/9/2021 | | S | | 608 | D | $2403.3278 (7) | 8298 | D | |
Class A Common Stock | 6/9/2021 | | S | | 1541 | D | $2405.2844 (8) | 6757 | D | |
Class A Common Stock | 6/9/2021 | | S | | 1900 | D | $2406.5911 (9) | 4857 | D | |
Class A Common Stock | 6/9/2021 | | S | | 1741 | D | $2407.5457 (10) | 3116 | D | |
Class A Common Stock | 6/9/2021 | | S | | 1200 | D | $2408.5742 (11) | 1916 | D | |
Class A Common Stock | 6/9/2021 | | S | | 400 | D | $2409.5875 (12) | 1516 | D | |
Class A Common Stock | 6/9/2021 | | S | | 700 | D | $2410.67 (13) | 816 | D | |
Class A Common Stock | 6/9/2021 | | S | | 616 | D | $2411.684 (14) | 200 | D | |
Class A Common Stock | 6/9/2021 | | S | | 200 | D | $2412.785 (15) | 0 | D | |
Class C Capital Stock | | | | | | | | 19159090 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | $0.00 | 6/9/2021 | | C | | | 13889 | (16) | (17) | Class A Common Stock | 13889 | $0.00 | 19085132 | D | |
Explanation of Responses: |
(1) | Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock at the election of Reporting Person. |
(2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2398.340 to $2399.339, inclusive. The Reporting Person undertakes to provide to any security holder of Alphabet Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (15) to this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2399.410 to $2400.409, inclusive. |
(4) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2400.440 to $2401.439, inclusive. |
(5) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2401.670 to $2402.669, inclusive. |
(6) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2403.840 to $2404.839, inclusive. |
(7) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2402.790 to $2403.789, inclusive. |
(8) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2404.900 to $2405.899, inclusive. |
(9) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2406.010 to $2407.009, inclusive. |
(10) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2407.030 to $2408.029, inclusive. |
(11) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2408.050 to $2409.049, inclusive. |
(12) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2409.110 to $2410.109, inclusive. |
(13) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2410.260 to $2411.259, inclusive. |
(14) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2411.460 to $2412.459, inclusive. |
(15) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2412.730 to $2413.729, inclusive. |
(16) | All shares are exercisable as of the transaction date. |
(17) | There is no expiration date for the Issuer's Class B Common Stock. |
Remarks: Related transactions effected by the Reporting Person on June 9, 2021 are reported on additional Form 4s. All transactions were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brin Sergey C/O ALPHABET INC. 1600 AMPHITHEATRE PKWY MOUNTAIN VIEW, CA 94043 | X | X |
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Signatures
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/s/ Valentina Margulis, as Attorney-in-Fact for Sergey Brin | | 6/11/2021 |
**Signature of Reporting Person | Date |
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