SEC Form 4 · accession 0001209191-15-021963
Keurig Dr Pepper Inc. · KDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M Anne Szostak
Director
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 8:46 am 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 | Mar 2, 2015 | J | 3,571 | $0.00 | A | 3,571 | D | |
| Common Stock | Mar 2, 2015 | J | 339 | $0.00 | A | 3,910 | D | |
| Common Stock | Mar 3, 2015 | J | 3,910 | $0.00 | D | 0 | D | |
| Common StockF4 | Mar 3, 2015 | J | 3,910 | $0.00 | A | 6,685 | I | M. Anne Szostak Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF5,F1,F6 | $0.00 | Mar 2, 2015 | J | 3,571 | D | — | — | Common Stock | 3,571 | 0 | D |
| Restricted Stock UnitF5,F6 | $0.00 | Mar 2, 2015 | A | 1,957 | A | — | — | Common Stock | 1,957 | 1,957 | D |
Explanation of responses
- F1These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2015.
- F2These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that vested on March 2, 2015.
- F3On March 3, 2015 the reporting person directed that the 3,910 shares beneficially owned by reporting person be transferred to the M. Anne Szostak Trust, in which the reporting person has a pecuniary interest.
- F4In addition to the 6,685 shares beneficially owned by the M. Anne Szostak Trust, 14,045 shares are beneficially owned by the Szostak DR. Pepper GRAT, in which the reporting person has a pecuniary interest.
- F5Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.
- F6Restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.