Statement of Changes in Beneficial Ownership (4)
August 19 2021 - 2:56PM
Edgar (US Regulatory)
FORM 4
[ ]
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
*
Pichai Sundar |
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 _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O ALPHABET INC., 1600 AMPHITHEATRE PKWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/18/2021 |
(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 | 8/18/2021 | | S | | 175 | D | $2730.00 | 4832 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 125 | D | $2730.186 (1) | 96002 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 200 | D | $2739.65 (2) | 95802 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2742.60 | 95702 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2743.70 | 95602 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2745.20 | 95502 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2747.06 | 95402 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 200 | D | $2748.175 (3) | 95202 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2749.24 | 95102 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2753.30 | 95002 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 300 | D | $2755.3633 (4) | 94702 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 400 | D | $2756.2075 (5) | 94302 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 400 | D | $2757.75 (6) | 93902 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 300 | D | $2759.1233 (7) | 93602 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 200 | D | $2760.095 (8) | 93402 | D | |
Class C Capital Stock | 8/18/2021 | | S | | 100 | D | $2760.96 | 93302 | D | |
Class C Google Stock Units (9) | | | | | | | | 46003 | 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 |
Option to Purchase Class A Common Stock | $318.2102 | | | | | | | (10) | 4/4/2022 | Class A Common Stock | 8646 | | 8646 | D | |
Option to Purchase Class C Capital Stock | $316.9399 | | | | | | | (10) | 4/4/2022 | Class C Capital Stock | 8646 | | 8646 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,729.89 to $2,730.88, 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 (1) through (8) to this Form 4. |
(2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,739.27 to $2,740.26, inclusive. |
(3) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,748.15 to $2,749.14, inclusive. |
(4) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,754.95 to $2,755.94, inclusive. |
(5) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,756.01 to $2,757.00, inclusive. |
(6) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,757.47 to $2,758.46, inclusive. |
(7) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,758.74 to $2,759.73, inclusive. |
(8) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,759.95 to $2,760.94, inclusive. |
(9) | Class C Google Stock Units (GSU) entitle the Reporting Person to receive one share of Alphabet Inc. Class C Capital Stock for each share underlying the GSU as GSU vests. 1/12th of the GSUs vested on March 25, 2020 and an additional 1/12th of the GSUs will vest quarterly thereafter until the GSUs are fully vested, subject to continuing employment on the applicable vesting dates |
(10) | Option is fully vested. |
Remarks: All transactions reported in this Form 4 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 |
Pichai Sundar C/O ALPHABET INC. 1600 AMPHITHEATRE PKWY MOUNTAIN VIEW, CA 94043 | X |
| Chief Executive Officer |
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Signatures
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/s/ Valentina Margulis as Attorney-in-Fact for Sundar Pichai | | 8/19/2021 |
**Signature of Reporting Person | Date |
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