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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 15.23 | 12/14/2010 | M | 4,375 | (2) | 11/20/2013 | Common Stock | 4,375 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.79 | 12/14/2010 | M | 11,666 | (3) | 05/17/2014 | Common Stock | 11,666 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 27.32 | 12/14/2010 | M | 29,260 | (4) | 11/16/2014 | Common Stock | 29,260 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gass Michelle 2401 UTAH AVENUE SOUTH, SUITE 800 SEATTLE, WA 98134 |
pres, Seattle's Best Coffee |
/s/ Alejandro C. Torres, attorney-in-fact for Michelle Gass | 12/16/2010 | |
**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) | This transaction was executed in multiple trades at prices ranging from $32.00 to $32.075. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(2) | The option, representing a right to purchase a total of 17,500 shares, became exercisable in four increments of 4,375 shares each on October 1 of 2004, 2005, 2006 and 2007. |
(3) | The option, representing a right to purchase a total of 35,000 shares, became exercisable in one increment of 11,668 shares on May 17, 2005 and two increments of 11,666 shares each on May 17 of 2006 and 2007. |
(4) | The option became exercisable in one increment of 9,754 shares on October 1, 2005 and two increments of 9,753 shares each on October 1 of 2006 and 2007. |