SEC Form 4 · accession 0001209191-15-014558
Keurig Dr Pepper Inc. · KDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin M Ellen
Officer — Executive Vice President & CFO
Period of report
Feb 13, 2015
Accepted (ET)
Feb 17, 2015 · 4:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001418135
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 13, 2015 | M | 20,569 | $36.42 | A | 20,569 | D | |
| Common StockF1 | Feb 13, 2015 | S | 18,569 | $77.0028 | D | 2,000 | D | |
| Common Stock | Feb 13, 2015 | J | 2,000 | $0.00 | D | 0 | D | |
| Common StockF2 | Feb 13, 2015 | J | 2,000 | $0.00 | A | 60,000 | I | By Limited Partnership |
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 | $36.42 | Feb 13, 2015 | M | 20,569 | D | — | Mar 2, 2021 | Common Stock | 20,569 | 10,728 | D |
Explanation of responses
- F1The price represents the weighted average sale price of the securities disposed of. The range of prices for the transaction is $77.00-$77.03. The reporting person shall provide upon request by the SEC, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2On February 13, 2015 the reporting person directed that the 2,000 shares beneficially owned by reporting person be transferred to Martin Robin Partners, L.P., in which the reporting person has a pecuniary interest.
- F3This option was granted on March 2, 2011 pursuant to Issuer's Omnibus Stock Incentive Plan and is fully vested.