Rhodes William C III's Form 4 filing
AutoZone Inc (AZO) · filed Jul 1, 2021
- Accession no.
- 0001225208-21-009990
- Filed
- Jul 1, 2021
- Trade date
- Jun 29-30, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 2 derivative transactions. Open-market sales total $7.00M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rhodes William C IIICIK 0001080992 | Director, Officer (Chairman, President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Common Stock | MOption exerciseAcquired | +4,492 | $425.11 | +$1,909,594.12 | 23,389.51 | Direct | |
| Jun 29, 2021 | Common Stock | SSaleDisposed | −792 | $1,502.60F2 | −$1,190,059.2 | 22,597.51 | Direct | |
| Jun 29, 2021 | Common Stock | SSaleDisposed | −1,300 | $1,501.44F3 | −$1,951,872 | 21,297.51 | Direct | |
| Jun 29, 2021 | Common Stock | SSaleDisposed | −2,400 | $1,500.50F4 | −$3,601,200 | 18,897.51 | Direct | |
| Jun 30, 2021 | Common Stock | MOption exerciseAcquired | +173 | $425.11 | +$73,544.03 | 19,073.99 | Direct | |
| Jun 30, 2021 | Common Stock | AGrant or awardAcquired | +47 | $1,492.22 | +$70,134.34 | 19,120.99 | Direct | |
| Jun 30, 2021 | Common Stock | AGrant or awardAcquired | +8 | $0.00 | $0 | 19,128.99 | Direct | |
| Jun 30, 2021 | Common Stock | SSaleDisposed | −73 | $1,500.38 | −$109,527.74 | 19,055.99 | Direct | |
| Jun 30, 2021 | Common Stock | SSaleDisposed | −100 | $1,502.01 | −$150,201 | 18,955.99 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Common Stock | MOption exerciseDisposed | −4,492 | $0.00 | $0 | 14,708 | Direct | |
| Jun 30, 2021 | Common Stock | MOption exerciseDisposed | −173 | $0.00 | $0 | 14,535 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This price represents the weighted average price per Share, of Issuer, of sales that were executed at prices ranging from $1,502.17-$1,502.74 per Share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares sold at each price.
Referenced by the price of 1 transaction in Table I.
- F3
This price represents the weighted average price per Share, of Issuer, of sales that were executed at prices ranging from $1,501.00-$1,501.90 per Share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares sold at each price.
Referenced by the price of 1 transaction in Table I.
- F4
This price represents the weighted average price per Share, of Issuer, of sales that were executed at prices ranging from $1,500.00-$1,500.93 per Share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares sold at each price.
Referenced by the price of 1 transaction in Table I.