SEC Form 4 · accession 0001209191-16-144502
COTY INC. · COTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Lucresca SE
10% Owner
Agnaten SE
10% Owner
JAB Holdings B.V.
10% Owner
JAB Cosmetics B.V.
10% Owner
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 5:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024305
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareF1,F2 | Sep 30, 2016 | C | 262,062,370 | — | A | 271,118,041 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common Stock, par value $0.01 per shareF1 | — | Sep 30, 2016 | C | 262,062,370 | D | — | — | Class A Common Stock, par value $0.01 per share | 262,062,370 | 0 | D |
Explanation of responses
- F1Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis. Such share conversion is exempt from registration under the Securities Act of 1933, as amended, by reason of the exemption provided in Section 3(a)(9) thereunder.
- F2This Statement is being filed by JAB Cosmetics B.V. ("JAB Cosmetics"), JAB Holdings B.V. ("JAB Holdings"), Agnaten SE ("Agnaten") and Lucresca SE ("Lucresca" and, together with JAB Cosmetics, JAB Holdings and Agnaten, the "Reporting Persons"). JAB Cosmetics is an indirect subsidiary of each of Agnaten and Lucresca. JAB Holdings is an indirect subsidiary of each of Agnaten and Lucresca and a direct stockholder of JAB Cosmetics. Other intervening subsidiaries are Donata Holdings B.V., JAB Holding Company s.a r.l., and JAB Investments s.a r.l. JAB, Agnaten and Lucresca are indirect beneficial owners of the reported securities, and each disclaims a pecuniary interest in the reported securities except to the extent of its interest therein.