SEC Form 4 · accession 0001140361-17-021132
BERRY GLOBAL GROUP INC · BERY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl J Rickertsen
Director
Period of report
May 15, 2017
Accepted (ET)
May 17, 2017 · 3:59 pm EDT
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 | May 15, 2017 | M | 15,119 | $17.59 | A | 15,119 | D | |
| Common StockF1 | May 15, 2017 | S | 15,119 | $56.2624 | D | 0 | D | |
| Common Stock | May 16, 2017 | M | 381 | $17.59 | A | 381 | D | |
| Common StockF3 | May 16, 2017 | S | 381 | $56.4488 | D | 0 | D | |
| Common Stock | May 16, 2017 | M | 14,000 | $21.00 | A | 14,000 | D | |
| Common StockF3 | May 16, 2017 | S | 14,000 | $56.4488 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy)F2 | $17.59 | May 15, 2017 | D | 15,119 | A | — | Jan 21, 2023 | Common Stock | 15,119 | 46,881 | D |
| Employee Stock Option (Right to Buy)F2 | $17.59 | May 16, 2017 | D | 381 | A | — | Jan 21, 2023 | Common Stock | 381 | 46,500 | D |
| Employee Stock Option (Right to Buy)F2 | $21.00 | May 16, 2017 | D | 14,000 | A | — | Nov 25, 2023 | Common Stock | 14,000 | 32,500 | D |
Explanation of responses
- F1Weighted average from 11 transactions with prices ranging from $56.25 to $56.30 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.
- F2Option fully vested.
- F3Weighted average from 16 transactions with prices ranging from $56.40 to $56.53 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.