SEC Form 4 · accession 0001001039-15-000023
WALT DISNEY CO/ · DIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christine M McCarthy
Officer — EVP - Corporate & Treasurer
Period of report
Jan 16, 2015
Accepted (ET)
Jan 20, 2015 · 8:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001039
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Disney Common StockF1 | Jan 16, 2015 | M | 1,969 | $94.605 | A | 94,949 | D | |
| Disney Common StockF2 | Jan 16, 2015 | F | 1,028 | $94.605 | D | 93,921 | D | |
| Disney Common StockF1 | Jan 18, 2015 | M | 2,414 | $94.605 | A | 96,335 | D | |
| Disney Common StockF3 | Jan 18, 2015 | F | 1,260 | $94.605 | D | 95,075 | D | |
| Disney Common StockF4 | Jan 18, 2015 | M | 14,488 | $94.605 | A | 109,562 | D | |
| Disney Common StockF5 | Jan 18, 2015 | F | 7,561 | $94.605 | D | 102,002 | D | |
| Disney Common StockF6 | holding | — | — | — | 3,470 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF7,F1 | — | Jan 16, 2015 | M | 1,969 | D | — | Jan 16, 2015 | Disney Common Stock | 1,969 | 0 | D |
| Restricted Stock UnitF7,F1 | — | Jan 18, 2015 | M | 2,414 | D | — | Jan 18, 2015 | Disney Common Stock | 2,414 | 0 | D |
| Restricted Stock UnitF7,F4 | — | Jan 18, 2015 | M | 14,488 | D | — | Jan 18, 2015 | Disney Common Stock | 14,488 | 0 | D |
Explanation of responses
- F1Vesting of shares connected with grant under The Walt Disney Company's 2002 Executive Performance Plan and 2011 Stock Incentive Plan, previously reported on a Form 4 dated December 4, 2014. Includes dividend equivalents credited with respect to the award, pursuant to the terms thereof.
- F2The 1,028.4530 shares reported as a disposition represent an automatic reduction of shares issued to the reporting person to discharge withholding tax obligations of reporting person and do not constitute an actual sale or other open-market transaction. The total also reflects a deduction for cash paid in lieu of fractional shares upon conversion of previously-granted units to shares.
- F3The 1,260.4014 shares reported as a disposition represent an automatic reduction of shares issued to the reporting person to discharge withholding tax obligations of reporting person and do not constitute an actual sale or other open-market transaction. The total also reflects a deduction for cash paid in lieu of fractional shares upon conversion of previously-granted units to shares.
- F4Vesting of shares connected with grant under The Walt Disney Company's 2002 Executive Performance Plan and 2011 Stock Incentive Plan, previously reported on a Form 4 dated December 22, 2014. Includes dividend equivalents credited with respect to the award, pursuant to the terms thereof.
- F5The 7,560.7971 shares reported as a disposition represent an automatic reduction of shares issued to the reporting person to discharge withholding tax obligations of reporting person and do not constitute an actual sale or other open-market transaction. The total also reflects a deduction for cash paid in lieu of fractional shares upon conversion of previously-granted units to shares.
- F6Shares held in The Walt Disney Stock Fund as of January 16, 2015. The Fund is one investment option in the 401(k) Plan and contains Company matching contributions.
- F7Converts at 1-for-1.