SEC Form 4 · accession 0001024305-16-000135
COTY INC. · COTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario Reis
Officer — EVP, Supply Chain
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 9:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024305
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred Stock (right to buy)F1 | — | Dec 31, 2015 | D | 213,633 | D | — | Apr 15, 2025 | Class A common stock | 213,633 | 408,000 | D |
Explanation of responses
- F1The transaction represents forfeiture of Series A Preferred Stock pursuant to the terms of the award, which require a number of shares of Series A Preferred Stock to be forfeited depending on the difference between the number of shares of Class A Common Stock held by the reporting person as of December 31, 2015 and the maximum investment amount established for the reporting person. The remaining shares of Series A Preferred Stock vest on April 15, 2020, subject to certain vesting conditions and exceptions. Upon vesting, each share of Series A Preferred Stock can be exchanged for up to one share of Class A Common Stock.