SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
WALKER JOHN KENT

(Last) (First) (Middle)
C/O ALPHABET INC.
1600 AMPHITHEATRE PKWY

(Street)
MOUNTAIN VIEW CA 94043

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Alphabet Inc. [ GOOG ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Global Affairs and CLO
3. Date of Earliest Transaction (Month/Day/Year)
03/25/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class C Google Stock Units(1) 03/25/2021 C(2) 1,248 D $0.00 26,707 D
Class C Google Stock Units(1) 03/25/2021 F(3) 1,081 D $2,045.06 25,626 D
Class C Google Stock Units(4) 03/25/2021 C(2) 1,324 D $0.00 9,178 D
Class C Google Stock Units(4) 03/25/2021 F(3) 1,301 D $2,045.06 7,877 D
Class C Capital Stock 03/25/2021 C(2) 2,571 A $0.00 2,572 D
Class C Capital Stock 03/29/2021 S 200 D $2,017.125(5) 2,372 D
Class C Capital Stock 03/29/2021 S 100 D $2,019.56 2,272 D
Class C Capital Stock 03/29/2021 S 100 D $2,022.76 2,172 D
Class C Capital Stock 03/29/2021 S 200 D $2,024.855(6) 1,972 D
Class C Capital Stock 03/29/2021 S 100 D $2,025.65 1,872 D
Class C Capital Stock 03/29/2021 S 100 D $2,026.79 1,772 D
Class C Capital Stock 03/29/2021 S 200 D $2,028.23(7) 1,572 D
Class C Capital Stock 03/29/2021 S 100 D $2,031.53 1,472 D
Class C Capital Stock 03/29/2021 S 100 D $2,033.17 1,372 D
Class C Capital Stock 03/29/2021 S 100 D $2,035.53 1,272 D
Class C Capital Stock 03/29/2021 S 100 D $2,037.47 1,172 D
Class C Capital Stock 03/29/2021 S 100 D $2,038.79 1,072 D
Class C Capital Stock 03/29/2021 S 126 D $2,042.9094(8) 946 D
Class C Capital Stock 03/29/2021 S 100 D $2,043.83 846 D
Class C Capital Stock 03/29/2021 S 100 D $2,045.85 746 D
Class C Capital Stock 03/29/2021 S 300 D $2,052.2533(9) 446 D
Class C Capital Stock 03/29/2021 S 44 D $2,053.7645(10) 402 D
Class C Capital Stock 03/29/2021 S 200 D $2,055.3(11) 202 D
Class C Capital Stock 03/29/2021 S 100 D $2,056.15 102 D
Class C Capital Stock 03/29/2021 S 100 D $2,057.15 2 D
Class C Capital Stock 4,986 I By Arete Trust, John Kent Walker and Diana Ruth Walsh, Trustees
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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 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 vest. 1/8th of GSU grant vested on June 25, 2020 and an additional 1/16th of the grant will vest quarterly on the 25th day of the month thereafter until the GSU are fully vested, subject to continued employment on the applicable vesting dates.
2. Vesting of Google Stock Units ("GSUs") grant of which was previously reported in Form 4.
3. Shares withheld to satisfy tax obligations arising out of vesting of GSUs.
4. 1/16th of GSU vested on March 25, 2018 and an additional 1/16th of the grant will vest quarterly on the 25th day of the month thereafter until the GSU are fully vested, subject to continued employment on the applicable vesting dates.
5. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2,017.02 to $2,018.01, 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 (5) through (11) to this Form 4.
6. The shares were sold in multiple transactions at prices ranging from $2,024.40 to $2,025.39, inclusive.
7. The shares were sold in multiple transactions at prices ranging from $2,028.17 to $2,029.16, inclusive.
8. The shares were sold in multiple transactions at prices ranging from $2,042.33 to $2,043.32, inclusive.
9. The shares were sold in multiple transactions at prices ranging from $2,051.75 to $2,052.74, inclusive.
10. The shares were sold in multiple transactions at prices ranging from $2,053.71 to $2,054.70, inclusive.
11. The shares were sold in multiple transactions at prices ranging from $2,055.00 to $2,055.99, inclusive.
Remarks:
All sale transactions were effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.
/s/ Valentina Margulis, as Attorney-in-Fact for John Kent Walker 03/29/2021
** 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 4 (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).
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