Statement of Changes in Beneficial Ownership (4)
March 06 2020 - 6:04PM
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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3235-0287
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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
*
WALTON JIM C |
2. Issuer Name and Ticker or Trading Symbol
Walmart Inc.
[
WMT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
P.O. BOX 1860 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2020 |
(Street)
BENTONVILLE, AR 72712
(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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Common Stock | 3/5/2020 | | J(1) |
V
| 415000000 (1) | D | $0 (1) | 1000891131 | I (1) | By Limited Liability Company |
Common Stock | 3/5/2020 | | J(2) |
V
| 415000000 (2) | A | $0 (2) | 419155600 | I (2) | By Trust |
Common Stock | | | | | | | | 6351524 | 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 |
Explanation of Responses: |
(1) | The reporting person is a member of Walton Enterprises, LLC ("Walton Enterprises"). The securities were contributed by Walton Enterprises to the Walton Family Holdings Trust (the "Trust"), a trust established for the benefit of the holders of the membership interests of Walton Enterprises, on 03/05/2020 (the "Transaction"). Following the Transaction, Walton Enterprises owns 1,000,891,131 shares of Common Stock. The reporting person disclaims beneficial ownership of the reported securities held by Walton Enterprises except to the extent of his pecuniary interest therein. |
(2) | The reporting person is a trustee of the Trust, the entity that owns 419,155,600 shares of Common Stock. The reporting person disclaims beneficial ownership of the reported securities held by the Trust except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WALTON JIM C P.O. BOX 1860 BENTONVILLE, AR 72712 |
| X |
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Signatures
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/s/ Jennifer F. Rudolph, by Power of Attorney | | 3/6/2020 |
**Signature of Reporting Person | Date |
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