SEC Form 4 · accession 0001209191-18-015148
Mondelez International, Inc. · MDLZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 5:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001103982
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2,F3 | Feb 27, 2018 | S | 6,523,275 | $43.67 | D | 35,963,724 | I | Please see explanation below |
| Class A Common StockF4 | holding | — | — | — | 17,795 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents sales made for portfolio management purposes, including in connection with the liquidation of a fund managed by Trian Fund Management, L.P ("Trian Management") that acquired the shares of the Issuer prior to the end of 2012.
- F2Trian Management serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them.
- F3(FN3, contd.) Mr. Peltz is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Peltz and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F4Total number of shares owned includes an aggregate of 171 shares acquired through a dividend reinvestment program.