Statement of Changes in Beneficial Ownership (4)
March 19 2021 - 6:44PM
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
*
McLay Kathryn J. |
2. Issuer Name and Ticker or Trading Symbol
Walmart Inc.
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WMT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice President |
(Last)
(First)
(Middle)
702 S.W. 8TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/17/2021 |
(Street)
BENTONVILLE, AR 72716
(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 | 3/17/2021 | | A | | 54890 (1) | A | $0 | 110833 | D | |
Common | 3/17/2021 | | F | | 24838 (2) | D | $133.39 | 85995 | D | |
Common | 3/17/2021 | | A | | 66017 (3) | A | $0 | 152012 | 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) | Represents the vesting of performance-based restricted stock units for the one-year period ended Jan. 31, 2021, as certified by the Compensation and Management Development Committee on March 17, 2021. |
(2) | Represents shares withheld to satisfy tax withholding obligations upon the vesting of performance-based restricted stock units. |
(3) | Represents restricted stock units earned by Reporting Person upon achievement of performance goals for the one-year period ended Jan. 31, 2021, as certified by the Compensation and Management Development Committee on March 17, 2021. The restricted stock units are scheduled to vest Jan. 31, 2023 if Reporting Person remains employed by the Issuer on that date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McLay Kathryn J. 702 S.W. 8TH STREET BENTONVILLE, AR 72716 |
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| Executive Vice President |
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Signatures
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/s/ Kristopher A. Isham, by power of attorney | | 3/19/2021 |
**Signature of Reporting Person | Date |
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