SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
| C/O MICROSOFT CORPORATION |
| ONE MICROSOFT WAY |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
02/04/2014
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3. Issuer Name and Ticker or Trading Symbol
MICROSOFT CORP
[ MSFT ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Chief Executive Officer |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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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 Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Common Stock |
1,089,443
|
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
| Remarks: |
|
|
Keith R. Dolliver, Attorney-in-Fact for Satya Nadella |
02/07/2014 |
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** 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
5
(b)(v). |
| ** 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. |
February 3, 2014
Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
Re: Microsoft Corporation - Power of Attorney
To whom it may concern:
This will confirm that I have granted each of the individuals listed below the
authority to, on my behalf, execute and file the Initial Statement of Beneficial
Ownership of Securities (Form 3),
the Statement of Changes in Beneficial Ownership of Securities (Form 4) and
the Annual Statement of Changes in Beneficial Ownership (Form 5), in
connection with transactions in Microsoft Corporation securities, as my
Attorney-In-Fact. Such power of attorney shall remain in full force and effect
until either (i) I am no longer subject to the reporting requirements under
Section 16 of the Securities Act of 1933, as amended or (ii) I have provided
you with written notice withdrawing this authority.
The individuals who are authorized to act as my Attorney-In-Fact under this
Power of Attorney are as follows:
Keith R. Dolliver
Peter A. Kraus
Christyne Mayberry
Ben O. Orndorff
John A. Seethoff
Bradford L. Smith
This Power of Attorney is effective immediately upon filing with the Securities
Exchange Commission and for purposes of my future Form 4 and Form 5 filings
relating to Microsoft securities and transactions.
Sincerely,
/s/ Satya Nadella
Satya Nadella
