Smith Richard Craig's Form 4 filing
AutoZone Inc (AZO) · filed Dec 10, 2021
- Accession no.
- 0001225208-21-014797
- Filed
- Dec 10, 2021
- Trade date
- Dec 6-8, 2021
- Filing delay
- 4 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $8.75M. It was filed 4 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Smith Richard CraigCIK 0001661802 | Officer (Sr. Vice President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 6, 2021 | Common Stock | GGiftDisposed | −100 | $0.00 | $0 | 2,915.89 | Direct | |
| Dec 8, 2021 | Common Stock | MOption exerciseAcquired | +2,300 | $371.47 | +$854,381 | 5,215.89 | Direct | |
| Dec 8, 2021 | Common Stock | MOption exerciseAcquired | +2,130 | $425.11 | +$905,484.3 | 7,345.89 | Direct | |
| Dec 8, 2021 | Common Stock | SSaleDisposed | −225 | $1,976.04F1 | −$444,609 | 7,120.89 | Direct | |
| Dec 8, 2021 | Common Stock | SSaleDisposed | −4,205 | $1,975.11F2 | −$8,305,337.55 | 2,915.89 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2021 | Common Stock | MOption exerciseDisposed | −2,300 | $0.00 | $0 | 0 | Direct | |
| Dec 8, 2021 | Common Stock | MOption exerciseDisposed | −2,130 | $0.00 | $0 | 0 | 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.
- F1
This price represents the weighted average price per Share, of Issuer, of sales that were executed at prices ranging from $1,976.02 - $1,976.22 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.
- F2
This price represents the weighted average price per Share, of Issuer, of sales that were executed at prices ranging from $1,975.00 - $1,975.76 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.