FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/20/2004 |
3. Issuer Name and Ticker or Trading Symbol
AMAZON COM INC [ AMZN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $.01 per share | 50,000(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | 10/27/2003(2) | 07/27/2010 | Common Stock, par value $.01 per share | 50,000 | $30.875 | D | |
Employee Stock Option (right to buy) | 12/06/2003(3) | 09/06/2011 | Common Stock, par value $.01 per share | 18,000 | $7.93 | D | |
Employee Stock Option (right to buy) | 05/01/2004(4) | 09/06/2011 | Common Stock, par value $.01 per share | 12,000 | $7.93 | D | |
Restricted Stock Unit Award | 10/01/2004(5) | 10/01/2007 | Common Stock, par value $.01 per share | 100,000 | $0(6) | D | |
Restricted Stock Unit Award | 04/20/2008(7) | 01/20/2009 | Common Stock, par value $.01 per share | 12,993 | $0(6) | D |
Explanation of Responses: |
1. Restricted stock subject to forfeiture of unvested shares; award vests at the rate of 40% on May 1, 2004 and 20% annually therreafter until fully vested in May 1, 2007. |
2. 4,500 shares vested on October 27, 2003, and an additional 6,500 shares vest upon completion of each quarter of employment thereafter until fully vested on July 27, 2005. |
3. 1,500 shares vested on December 6, 2003, 1,500 shares vested on March 3, 2004 and an additional 1,500 shares vest upon completion of each quarter of employment thereafter until fully vested on September 6, 2006. |
4. 3,000 shares vest on May 1, 2004 and an additional 3,000 shares vest upon completion of each quarter of employment thereafter until fully vested on February 1, 2005. |
5. This award vests based upon the following vesting schedule: 25% on October 1, 2004 and, subject to the satisfaction of certain business criteria intended to qualify the award as tax-deductible compensation under Section 162(m)(4)(c) of the Internal Revenue Code, an additional 25% annually thereafter until fully vested on October 1, 2007. |
6. Converts into Common Stock on a one-for-one basis. |
7. This award vests based upon the following vesting schedule and the satisfaction of certain business criteria intended to qualify the award as tax-deductible compensation under Section 162(m)(4)(c) of the Internal Revenue Code: 25% on April 20, 2008 and an additional 25% upon completion of each 3-month period of employment thereafter. |
Remarks: |
MARK V. STABINGAS, Senior Vice President, Worldwide Services Sales and Business Development | 04/21/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |