SEC Form 4 · accession 0001140361-17-004389
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
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 4:33 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 | Feb 1, 2017 | M | 48,011 | $6.12 | A | 273,361 | D | |
| Common StockF2 | Feb 1, 2017 | D | 48,011 | $51.392 | D | 225,350 | D | |
| Common Stock | Feb 1, 2017 | M | 4,900 | $6.12 | A | 230,250 | D | |
| Common StockF4 | Feb 1, 2017 | D | 4,900 | $52.0087 | 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 | Feb 1, 2017 | M | 48,011 | A | — | Oct 3, 2020 | Common Stock | 48,011 | 3,321,559 | D |
| Employee Stock Option (Right to Buy)F3 | $6.12 | Feb 1, 2017 | M | 4,900 | A | — | Oct 3, 2020 | Common Stock | 4,900 | 3,316,659 | 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 111 transactions with prices ranging from $50.9200 to $51.9000 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 21 transactions with prices ranging from $51.9150 to $52.2000 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.