SEC Form 4 · accession 0001209191-17-033791
Keurig Dr Pepper Inc. · KDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joyce M Roche
Director
Period of report
May 18, 2017
Accepted (ET)
May 19, 2017 · 10:03 am EDT
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 | May 18, 2017 | M | 524 | $47.67 | A | 12,460 | D | |
| Common Stock | May 18, 2017 | J | 42 | $0.00 | A | 12,502 | D | |
| Common Stock | May 18, 2017 | M | 349 | $71.60 | A | 12,851 | D | |
| Common Stock | May 18, 2017 | J | 18 | $0.00 | A | 12,869 | D | |
| Common Stock | May 18, 2017 | M | 271 | $92.23 | A | 13,140 | D | |
| Common Stock | May 18, 2017 | J | 7 | $0.00 | A | 13,147 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF7,F8 | $0.00 | May 18, 2017 | M | 524 | D | — | — | Common Stock | 524 | 0 | D |
| Deferred Stock UnitsF7,F8 | $0.00 | May 18, 2017 | M | 349 | D | — | — | Common Stock | 349 | 0 | D |
| Deferred Stock UnitsF7,F8 | $0.00 | May 18, 2017 | M | 271 | D | — | — | Common Stock | 271 | 0 | D |
Explanation of responses
- F1These shares represent deferred stock units acquired on January 2, 2014 pursuant to the Issuer's Nonemployee Director Deferral Plan effective September 18, 2013 (the "Plan") and settled on May 18, 2017.
- F2These shares are deferred 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 settled on May 18, 2017.
- F3These shares represent deferred stock units acquired on January 2, 2015 pursuant to the Plan and settled on March 18, 2017.
- F4These shares are deferred stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (3) above) that settled on May 18, 2017.
- F5These shares represent deferred stock units acquired on January 4, 2016 pursuant to the Plan and settled on May 18, 2017.
- F6These shares are deferred stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (5) above) that settled on May 18, 2017.
- F7Each deferred stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Plan.
- F8On May 18, 2017 reporting person retired as a director of Dr Pepper Snapple Group, Inc. Pursuant to the Plan, deferred stock units are fully vested and shall be paid in one installment within thirty (30) days after reporting person's separation from service as a director in shares of the Issuer's Common Stock.