SEC Form 4 · accession 0001001039-16-000345
WALT DISNEY CO/ · DIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas O Staggs
Officer — Chief Operating Officer
Period of report
Jan 16, 2016
Accepted (ET)
Jan 20, 2016 · 8:01 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, 2016 | M | 7,734 | $95.17 | A | 98,556 | D | |
| Disney Common StockF2 | Jan 16, 2016 | F | 2,924 | $95.17 | D | 95,632 | D | |
| Disney Common StockF3 | Jan 16, 2016 | M | 46,403 | $95.17 | A | 142,035 | D | |
| Disney Common StockF4 | Jan 16, 2016 | F | 23,811 | $95.17 | D | 118,224 | D | |
| Disney Common StockF1 | Jan 18, 2016 | M | 9,170 | $95.17 | A | 127,394 | D | |
| Disney Common StockF5 | Jan 18, 2016 | F | 4,785 | $95.17 | D | 122,609 | D | |
| Disney Common StockF6 | holding | — | — | — | 8,205 | I | By 401(k) | |
| Disney Common Stock | holding | — | — | — | 790 | I | By Charitable Remainder Trust | |
| Disney Common Stock | holding | — | — | — | 160,366 | I | As Trustee | |
| Disney Common Stock | holding | — | — | — | 57 | I | By Spouse |
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, 2016 | M | 7,734 | D | — | Jan 16, 2016 | Disney Common Stock | 7,734 | 0 | D |
| Restricted Stock UnitF7,F3 | — | Jan 16, 2016 | M | 46,403 | D | — | Jan 16, 2016 | Disney Common Stock | 46,403 | 0 | D |
| Restricted Stock UnitF7,F1 | — | Jan 18, 2016 | M | 9,170 | D | — | Jan 18, 2016 | Disney Common Stock | 9,170 | 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 3 dated February 6, 2015. Includes dividend equivalents credited with respect to the award, pursuant to the terms thereof.
- F2The 2,924.2111 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.
- F3Vesting 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 18, 2015. Includes dividend equivalents credited with respect to the award, pursuant to the terms thereof.
- F4The 23,810.9325 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.
- F5The 4,785.1356 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 19, 2016. The Fund is one investment option in the 401(k) Plan and contains Company matching contributions.
- F7Converts at 1-for-1.