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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 | ||||||||
Non-qualified Stock Option (Right to Buy) | $ 30.42 | 11/21/2013 | M | 400,000 | 11/16/2006(2) | 11/16/2015 | Common Stock | 400,000 | $ 0 | 566,469 | D | ||||
Non-qualified Stock Option (Right to Buy) | $ 8.64 | 11/21/2013 | M | 75,000 | 11/17/2009(3) | 11/17/2018 | Common Stock | 75,000 | $ 0 | 0 | D | ||||
Non-qualified Stock Option (Right to Buy) | $ 27.32 | 11/21/2013 | M | 82,000 | 10/01/2005(4) | 11/16/2014 | Common Stock | 82,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHULTZ HOWARD D 2401 UTAH AVENUE SOUTH, SUITE 800 SEATTLE, WA 98134 |
X | chairman, president and ceo |
/s/ Robert L. Villase?or, attorney-in-fact for Howard Schultz | 11/25/2013 | |
**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 $81.25 to $81.61. 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 the right to buy a total of 966,469 shares, became exercisable in one increment of 322,157 shares on November 16, 2006, and in two increments of 322,156 shares each on November 16, 2007 and November 16, 2008. The option expires on November 16, 2015. |
(3) | The option, representing the right to buy a total of 2,714,947 shares, became exercisable in three increments of 678,737 shares each on November 17, 2009, November 17, 2010 and November 17, 2011, and one increment of 678,736 shares on November 17, 2012. The option expires on November 17, 2018. |
(4) | The option, representing the right to buy a total of 1,000,000 shares, became exercisable in one increment of 333,334 shares on October 1, 2005, and in two increments of 333,333 shares each on October 1, 2006 and October 1, 2007. The option expires on November 16, 2014. |