Statement of Changes in Beneficial Ownership (4)
September 28 2021 - 7:21PM
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
*
Porat Ruth |
2. Issuer Name and Ticker or Trading Symbol
Alphabet Inc.
[
GOOG
]
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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) SVP, CFO |
(Last)
(First)
(Middle)
C/O ALPHABET INC., 1600 AMPHITHEATRE PKWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/25/2021 |
(Street)
MOUNTAIN VIEW, CA 94043
(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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Class C Capital Stock | 9/25/2021 | | C(1) | | 1324 | A | $0.00 | 77794 | D | |
Class C Capital Stock | 9/25/2021 | | C(1) | | 1174 | A | $0.00 | 78968 | D | |
Class C Google Stock Units (2) | 9/25/2021 | | F(3) | | 1301 | D | $2852.66 | 3950 | D | |
Class C Google Stock Units (2) | 9/25/2021 | | C(1) | | 1324 | D | $0.00 | 2626 | D | |
Class C Google Stock Units (4) | 9/25/2021 | | F(3) | | 1155 | D | $2852.66 | 22141 | D | |
Class C Google Stock Units (4) | 9/25/2021 | | C(1) | | 1174 | D | $0.00 | 20967 | 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) | Vesting of Google Stock Units ("GSUs") grant of which was previously reported in Form 4. |
(2) | The Class C Google Stock Units (GSUs) entitle the Reporting Person to receive one share of Alphabet Inc. Class C capital stock for each share underlying the GSU as GSU vest. 1/16th of GSUs vested on March 25, 2018 and an additional 1/16th vests quarterly on the 25th day of the month until the GSUs are fully vested, subject to continued employment on such vesting dates. |
(3) | Shares withheld to satisfy tax obligations arising out of vesting of GSUs. |
(4) | 1/8th of GSU grant vested on June 25, 2020 and 1/16th will vest quarterly thereafter, subject to continued employment on the applicable vesting dates. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Porat Ruth C/O ALPHABET INC. 1600 AMPHITHEATRE PKWY MOUNTAIN VIEW, CA 94043 |
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| SVP, CFO |
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Signatures
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/s/ Valentina Margulis, as Attorney-in-Fact for Ruth M. Porat | | 9/28/2021 |
**Signature of Reporting Person | Date |
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