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 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
|
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Alphabet Inc. [ GOOG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 11/07/2023 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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 A Common Stock | 10/13/2023 | G(1) | 174,000 | D | $0.00 | 516,564 | I | Ram Shriram TR UA 09/10/2021 2021 RS Irrevocable Trust | ||
Class A Common Stock | 10/13/2023 | G(1) | 174,000 | A | $0.00 | 179,364 | D | |||
Class A Common Stock | 11/07/2023 | S | 51,605 | D | $131.3313(2) | 127,759 | D | |||
Class A Common Stock | 11/07/2023 | S | 23,395 | D | $130.5494(3) | 104,364 | D | |||
Class A Common Stock | 10/13/2023 | G(4) | 155,100 | D | $0.00 | 515,044 | I | Vijay Shriram TR UA 09/10/2021 2021 VS Irrevocable Trust | ||
Class A Common Stock | 10/13/2023 | G(4) | 155,100 | A | $0.00 | 160,338 | I | By spouse | ||
Class A Common Stock | 11/07/2023 | S | 24,227 | D | $130.5619(5) | 136,111 | I | By spouse | ||
Class A Common Stock | 11/07/2023 | S | 50,773 | D | $131.3388(6) | 85,338 | I | By spouse | ||
Class C Capital Stock | 10/13/2023 | G(1) | 217,760 | D | $0.00 | 516,564 | I | Ram Shriram TR UA 09/10/2021 2021 RS Irrevocable Trust | ||
Class C Capital Stock | 10/13/2023 | G(1) | 217,760 | A | $0.00 | 565,117 | D | |||
Class C Capital Stock | 10/13/2023 | G(4) | 219,280 | D | $0.00 | 515,044 | I | Vijay Shriram TR UA 09/10/2021 2021 VS Irrevocable Trust | ||
Class C Capital Stock | 10/13/2023 | G(4) | 219,280 | A | $0.00 | 483,560 | I | By Spouse | ||
Class A Common Stock | 337,680 | I | By Limited Partnership | |||||||
Class A Common Stock | 265,676 | I | 2022 RS Irrevocable Trust UAD 10/28/2022(7) | |||||||
Class A Common Stock | 265,676 | I | 2022 VS Irrevocable Trust UAD 10/28/2022(8) | |||||||
Class C Capital Stock | 265,676 | I | 2022 RS Irrevocable Trust UAD 10/28/2022(7) | |||||||
Class C Capital Stock | 265,676 | I | 2022 VS Irrevocable Trust UAD 10/28/2022(8) | |||||||
Class C Google Stock Units(9) | 820 | D | ||||||||
Class C Google Stock Units(10) | 1,180 | D | ||||||||
Class C Google Stock Units(11) | 2,080 | D | ||||||||
Class C Google Stock Units(12) | 2,605 | D |
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. Reflects an annuity payment on October 13, 2023 of 174,000 shares of Class A Common stock and 217,760 shares of Class C Capital stock from the 2021 RS Irrevocable Trust UAD 9/10/2021 (2021 GRAT) to the Reporting Person. The Reporting Person is both trustee and sole annuitant of the 2021 GRAT and believes such annuity payment qualifies as a mere change in form of beneficial ownership of the shares, exempt from Section 16(a) and Section 16(b) pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 (Exchange Act). |
2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $130.93 to $131.92, 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 (2), (3), (5), and (6) to this Form 4. |
3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $129.93 to $130.92, inclusive. |
4. Reflects an annuity payment on October 13, 2023 of 155,100 shares of Class A Common stock and 219,280 shares of Class C Capital stock from the 2021 VS Irrevocable Trust UAD 9/10/2021 (2021 VS GRAT) to the Reporting Person's spouse. The Reporting Person's spouse is both trustee and sole annuitant of the 2021 VS GRAT. The Reporting Person believes such annuity payment qualifies as a mere change in form of beneficial ownership of the shares, exempt from Section 16(a) and Section 16(b) pursuant to Rule 16a-13 under the Exchange Act. |
5. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $129.94 to $130.92, inclusive. |
6. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $130.94 to $131.93, inclusive. |
7. The Reporting Person is trustee and beneficiary of the 2022 RS Irrevocable Trust UAD 10/28 |
8. The Reporting Person's spouse is trustee and beneficiary of the 2022 VS Irrevocable Trust UAD 10/28/2022. |
9. 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. 1/48th of GSU grant vested on July 25, 2020 and an additional 1/48th of GSUs will vest monthly thereafter, subject to continued service on the Board on the applicable vesting dates. |
10. 1/48th of GSU grant vested on July 25, 2021 and an additional 1/48th of GSUs will monthly thereafter, subject to continued service on the Board on the applicable vesting dates. |
11. 1/48th of GSU grant vested on July 25, 2022 and an additional 1/48th of GSUs will monthly thereafter, subject to continued service on the Board on the applicable vesting dates. |
12. 1/48th of GSU grant vested on July 25, 2023 and an additional 1/48th of GSUs will monthly thereafter, subject to continued service on the Board on the applicable vesting dates. |
Remarks: |
All sale transactions reported in this Form 4 were effected pursuant to Rule 10b5-1 Trading Plans adopted by the Reporting Person and the Reporting Person's spouse on November 30, 2022. |
/s/ Valentina Margulis, as Attorney-in-Fact for K. Ram Shriram | 11/09/2023 | |
** 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). | ||
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. |