SEC Form 4 · accession 0001209191-17-018437
Keurig Dr Pepper Inc. · KDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Angela A. Stephens
Officer — Sr. Vice President, Controller
Period of report
Mar 2, 2017
Accepted (ET)
Mar 6, 2017 · 5:42 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 | Mar 2, 2017 | M | 399 | $0.00 | A | 12,194 | D | |
| Common Stock | Mar 2, 2017 | J | 9 | $0.00 | A | 12,203 | D | |
| Common Stock | Mar 2, 2017 | F | 112 | $0.00 | D | 12,091 | D | |
| Common Stock | Mar 3, 2017 | M | 2,128 | $0.00 | A | 14,219 | D | |
| Common Stock | Mar 3, 2017 | J | 160 | $0.00 | A | 14,379 | D | |
| Common Stock | Mar 3, 2017 | F | 626 | $0.00 | D | 13,753 | 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)F7 | $94.62 | Mar 2, 2017 | A | 5,628 | A | — | Mar 2, 2027 | Common Stock | 5,628 | 5,628 | D |
| Restricted Stock UnitF8,F9 | $0.00 | Mar 2, 2017 | A | 887 | A | — | — | Common Stock | 887 | 887 | D |
| Restricted Stock UnitsF8,F1 | $0.00 | Mar 2, 2017 | M | 399 | D | — | — | Common Stock | 399 | 796 | D |
| Restricted Stock UnitsF8,F10 | $0.00 | Mar 3, 2017 | M | 2,128 | D | — | — | Common Stock | 2,128 | 0 | D |
Explanation of responses
- F1These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on each anniversary date of the grant commencing on March 2, 2017.
- F10These restriced 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.
- 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, 2017.
- F3Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (1) and (2) above.
- F4These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 3, 2017.
- F5These 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 (4) above) that vested on March 3, 2017.
- F6Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (4) and (5) above.
- F7This option was granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vests in three equal annual installments on each anniversary date of the grant commencing on March 2, 2018.
- F8Each 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.
- F9These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vests in three equal annual installments on March 4, 2018, March 4, 2019 and March 4, 2020.