SEC Form 4
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 | |||
OMB APPROVAL | |||
Washington, D.C. 20549 | |||
OMB Number: | 3235-0287 | ||
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | Estimated average burden | ||
hours per response: | 0.5 | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||||||||||||||||||||||||||||||||
BROD FRANK H | MICROSOFT CORP[ MSFT ] | (Check all applicable) | ||||||||||||||||||||||||||||||||
Director | 10% Owner | |||||||||||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) | ||||||||||||||||||||||||||||||||||
X | Officer (give title | Other (specify | ||||||||||||||||||||||||||||||||
09/18/2019 | ||||||||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | below) | below) | ||||||||||||||||||||||||||||||
C/O MICROSOFT CORPORATION | Chief Accounting Officer | |||||||||||||||||||||||||||||||||
ONE MICROSOFT WAY | ||||||||||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | |||||||||||||||||||||||||||||||||
Line) | ||||||||||||||||||||||||||||||||||
(Street) | X Form filed by One Reporting Person | |||||||||||||||||||||||||||||||||
REDMOND | WA | 98052-6399 | Form filed by More than One Reporting | |||||||||||||||||||||||||||||||
Person | ||||||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | ||||||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature | |||||||||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 | Securities | Form: Direct | of Indirect | ||||||||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | and 5) | Beneficially | (D) or | Beneficial | ||||||||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned | Indirect (I) | Ownership | ||||||||||||||||||||||||||||||
Following | (Instr. 4) | (Instr. 4) | ||||||||||||||||||||||||||||||||
Code | V | Amount | (A) or | Price | Reported | |||||||||||||||||||||||||||||
Transaction(s) | ||||||||||||||||||||||||||||||||||
(D) | ||||||||||||||||||||||||||||||||||
(Instr. 3 and 4) | ||||||||||||||||||||||||||||||||||
Common Stock | 09/18/2019 | A | 9,318(1) | A | $0 | 63,624 | D | |||||||||||||||||||||||||||
Common Stock | 09/18/2019 | A | 6,656(2) | A | $0 | 70,280 | D | |||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable and | 7. Title and | 8. Price | 9. Number of | 10. | 11. Nature | |||||||||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | of | Expiration Date | Amount of | of | derivative | Ownership | of Indirect | |||||||||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Derivative | (Month/Day/Year) | Securities | Derivative | Securities | Form: | Beneficial | |||||||||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Securities | Underlying | Security | Beneficially | Direct (D) | Ownership | |||||||||||||||||||||||||
Derivative | Acquired | Derivative | (Instr. 5) | Owned | or Indirect | (Instr. 4) | ||||||||||||||||||||||||||||
Security | (A) or | Security (Instr. | Following | (I) (Instr. | ||||||||||||||||||||||||||||||
Disposed | 3 and 4) | Reported | 4) | |||||||||||||||||||||||||||||||
of (D) | Transaction(s) | |||||||||||||||||||||||||||||||||
(Instr. 3, 4 | (Instr. 4) | |||||||||||||||||||||||||||||||||
and 5) | ||||||||||||||||||||||||||||||||||
Amount | ||||||||||||||||||||||||||||||||||
or | ||||||||||||||||||||||||||||||||||
Number | ||||||||||||||||||||||||||||||||||
Date | Expiration | of | ||||||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares |
Explanation of Responses:
- Represents Stock Award that will vest over 5 years at the rate of 5% starting on November 30, 2019, and then at the rate of 5% each three months thereafter, subject to continued employment.
- Represents Stock Award that will vest over 4 years at the rate of 25% starting on August 30, 2020, and then at the rate of 6.25% each three months thereafter, subject to continued employment.
Remarks:
Ann Habernigg, Attorney-in- | 09/19/2019 | |
fact for Frank H. Brod | ||
** 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).
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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.
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Microsoft Corporation published this content on 19 September 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 19 September 2019 22:36:00 UTC