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 | |||||||||||||||||||||||||||
Capossela Christopher C | MICROSOFT CORP[ MSFT ] | (Check all applicable) | |||||||||||||||||||||||||||
Director | 10% Owner | ||||||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) | |||||||||||||||||||||||||||||
X | Officer (give title | Other (specify | |||||||||||||||||||||||||||
11/06/2019 | |||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | below) | below) | |||||||||||||||||||||||||
C/O MICROSOFT CORPORATION | EVP, Chief Marketing 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 and 5) | Securities | Form: Direct | of Indirect | |||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | Beneficially | (D) or Indirect | Beneficial | ||||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | |||||||||||||||||||||||||
Reported | (Instr. 4) | ||||||||||||||||||||||||||||
(A) or | |||||||||||||||||||||||||||||
Code | V | Amount | Price | Transaction(s) | |||||||||||||||||||||||||
(D) | (Instr. 3 and 4) | ||||||||||||||||||||||||||||
Common Stock | 11/06/2019 | S | 2,500 | D | $144.0133 | 118,944 | D | ||||||||||||||||||||||
Common Stock | 11/07/2019 | S | 7,500 | D | $144.765(1) | 111,444 | 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. 3 | Following | (I) (Instr. 4) | |||||||||||||||||||||||||
Disposed | and 4) | Reported | |||||||||||||||||||||||||||
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:
1. This transaction was executed in multiple trades at prices ranging from $144.73 to $144.7824. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.
Remarks:
Ann Habernigg, Attorney-in- | 11/07/2019 | |||
Fact for Christopher C. | ||||
Capossela | ||||
** 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 07 November 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 07 November 2019 23:09:02 UTC