SEC Form 4 · accession 0001140361-17-003965
BERRY GLOBAL GROUP INC · BERY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan D Rich
Officer — Chief Executive Officer · Director
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378992
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 30, 2017 | M | 163,360 | $6.12 | A | 388,710 | D | |
| Common StockF2 | Jan 30, 2017 | D | 163,350 | $50.3279 | D | 225,350 | D | |
| Common Stock | Jan 30, 2017 | M | 2,500 | $6.12 | A | 227,850 | D | |
| Common StockF4 | Jan 30, 2017 | D | 2,500 | $51.0578 | D | 225,350 | D | |
| Common Stock | Jan 31, 2017 | M | 189,570 | $6.12 | A | 414,920 | D | |
| Common StockF5 | Jan 31, 2017 | D | 189,570 | $50.6426 | D | 225,350 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $6.12 | Jan 30, 2017 | M | 163,360 | A | — | Oct 3, 2020 | Common Stock | 163,360 | 3,561,640 | D |
| Employee Stock Option (Right to Buy)F3 | $6.12 | Jan 30, 2017 | M | 2,500 | A | — | Oct 3, 2020 | Common Stock | 2,500 | 3,559,140 | D |
| Employee Stock Option (Right to Buy)F3 | $6.12 | Jan 31, 2017 | M | 189,570 | A | — | Oct 3, 2020 | Common Stock | 189,570 | 3,369,570 | D |
Explanation of responses
- F1Sale pursuant to trading plan meeting the requirements of SEC Rule 10b5-1 adopted by the reporting person on December 1, 2016.
- F2Weighted average from 129 transactions with prices ranging from $49.84 to $50.80 per share. Upon request by the Commission Staff, the issuer, or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares purchased at each separate price.
- F3Granted under the 2006 Equity Incentive Plan. Option vest on each of the first five anniversaries of the date of grant, subject to the terms and conditions of the plan and award agreement.
- F4Weighted average from 13 transactions with prices ranging from $50.8600 to $51.2800 per share. Upon request by the Commission Staff, the issuer, or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares purchased at each separate price.
- F5Weighted average from 161 transactions with prices ranging from $50.1800 to $51.1250 per share. Upon request by the Commission Staff, the issuer, or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares purchased at each separate price.