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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHULTZ HOWARD D 2401 UTAH AVENUE SOUTH, SUITE 800 SEATTLE, WA 98134 |
X | chairman and ceo |
/s/ Robert L. Villasenor, attorney-in-fact for Howard Schultz | 11/15/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Includes 210,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on June 7, 2016 as an annuity payment that was exempt from Section 16 pursuant to Rule 16a-13. |
(2) | Includes 745,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on August 24, 2016 as an annuity payment that was exempt from Section 16 pursuant to Rule 16a-13. |
(3) | This total has been reduced to reflect the gift of 2,000,000 shares of common stock to the reporting person's spouse reported in this Form 4, and 2,000,000 shares previously contributed by the reporting person to a grantor retained annuity trust for which the reporting person is the sole trustee and sole beneficiary. |
(4) | Shares withheld by the issuer to satisfy tax withholding obligations upon vesting of restricted stock units; not an open market transaction. |