0001352027-17-000035.txt : 20170809 0001352027-17-000035.hdr.sgml : 20170809 20170809213429 ACCESSION NUMBER: 0001352027-17-000035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOTICK ROBERT A CENTRAL INDEX KEY: 0001091423 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15839 FILM NUMBER: 171019509 MAIL ADDRESS: STREET 1: 3100 OCEAN PARK BLVD CITY: SANTA MONICA STATE: CA ZIP: 90405 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Activision Blizzard, Inc. CENTRAL INDEX KEY: 0000718877 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 954803544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3100 OCEAN PARK BLVD CITY: SANTA MONICA STATE: CA ZIP: 90405 BUSINESS PHONE: 3102552000 MAIL ADDRESS: STREET 1: 3100 OCEAN PARK BLVD CITY: SANTA MONICA STATE: CA ZIP: 90405 FORMER COMPANY: FORMER CONFORMED NAME: ACTIVISION INC /NY DATE OF NAME CHANGE: 19930114 FORMER COMPANY: FORMER CONFORMED NAME: MEDIAGENIC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ACTIVISION INC DATE OF NAME CHANGE: 19880829 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-03-31 0000718877 Activision Blizzard, Inc. ATVI 0001091423 KOTICK ROBERT A C/O ACTIVISION BLIZZARD, INC. 3100 OCEAN PARK BOULEVARD SANTA MONICA CA 90405 1 1 0 0 Chief Executive Officer Common Stock, par value $0.000001 per share 2017-03-31 4 S 0 2400 49.905 D 7200 I By UTMAs for the benefit of minor children Common Stock, par value $0.000001 per share 2017-05-18 5 G 0 3262153 0 D 0 I By ASAC 427 LLC Common Stock, par value $0.000001 per share 2017-05-19 5 G 0 360360 0 D 3711468 D Common Stock, par value $0.000001 per share 2017-06-20 5 G 0 100000 0 D 3611468 D Common Stock, par value $0.000001 per share 2017-08-07 4 A 0 439930 0 A 4051398 D Common Stock, par value $0.000001 per share 2017-08-07 4 A 0 143976 0 A 4195374 D Common Stock, par value $0.000001 per share 1 I By ASAC II LLC Common Stock, par value $0.000001 per share 3110590 I See footnote Employee Stock Options 62.51 2017-08-07 4 A 0 190712 0 A 2021-12-31 2027-08-07 Common Stock, par value $0.000001 per share 190712 190712 D Represents a sale of shares by a UTMA for the benefit of Mr. Kotick's child. The reporting person disclaims beneficial ownership of the Company's common stock held by these UTMAs except to the extent of his pecuniary interest therein. Represents the distribution of shares on May 18, 2017 from ASAC 427 LLC, a limited liability company managed by the reporting person, to the 115190D Trust. The reporting person disclaims beneficial ownership of the Company's common stock held by ASAC 427 LLC except to the extent of his pecuniary interest therein. Represents a charitable gift/transfer of shares of the Company's common stock to a 501(c)(3) organization. Represents a charitable gift/transfer of shares of the Company's common stock to a 501(c)(3) organization. This grant was for 439,930 performance-vesting restricted stock units, each representing the right to receive one share of the Company's common stock. The number reported assumes maximum performance; target performance would result in the release of 175,972 shares of the Company's common stock. These performance-vesting restricted stock units will vest on March 15, 2021 based upon the level of performance measured by reference to the Company's cumulative operating income for 2018, 2019 and 2020, and further subject to an initial performance objective based on the Company's cumulative earnings per share for the second half of 2017 and 2018 being met. This award is subject to immediate vesting if the terms set forth in Section 12 of Mr. Kotick's employment agreement with the Company, dated as of November 22, 2016 and effective as of October 1, 2016, and filed as an exhibit to the Form 8-K filed by the Company on November 25, 2016, are met. This grant was for 143,976 performance-vesting restricted stock units, each representing the right to receive one share of the Company's common stock. The number reported assumes maximum performance; target performance would result in the release of 71,988 shares of the Company's common stock. These performance-vesting restricted stock units vest on March 15, 2021, based upon the level of performance measured by reference to the Company's relative total shareholder return during a performance period from the grant date through December 31, 2020. Following the transactions reported on this Form 4, the reporting person directly held (a) 2,098,151 shares of the Company's common stock and (b) 2,097,223 restricted stock units with vesting tied to performance, each representing the right to receive one share of the Company's common stock. Includes 1,761,562 shares received in a distribution of 6,524,305 shares of the Company's common stock by ASAC 427 LLC, a limited liability company managed by the reporting person, to its members on May 18, 2017. The reporting person and Brian G. Kelly are the managers of ASAC II LLC. The reporting person disclaims beneficial ownership of the Company's common stock held by ASAC II LLC except to the extent of his pecuniary interest therein. Includes 1,500,590 shares received in a distribution of 6,524,305 shares of the Company's common stock by ASAC 427 LLC, a limited liability company managed by the reporting person, to its members on May 18, 2017. These shares are held by grantor retained annuity trusts for the benefit of the reporting person's children, of which the reporting person is the trustee. /s/ Robert A. Kotick 2017-08-09