SEC Form 4 · accession 0001209191-18-017319
Keurig Dr Pepper Inc. · KDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jaxie S. Alt
Officer — Executive Vice President
Period of report
Mar 2, 2018
Accepted (ET)
Mar 6, 2018 · 4:48 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, 2018 | M | 909 | $0.00 | A | 4,762 | D | |
| Common Stock | Mar 2, 2018 | J | 67 | $0.00 | A | 4,829 | D | |
| Common Stock | Mar 2, 2018 | F | 238 | $0.00 | D | 4,591 | D | |
| Common Stock | Mar 2, 2018 | M | 275 | $0.00 | A | 4,866 | D | |
| Common Stock | Mar 2, 2018 | J | 13 | $0.00 | A | 4,879 | D | |
| Common Stock | Mar 2, 2018 | F | 71 | $0.00 | D | 4,808 | D | |
| Common Stock | Mar 4, 2018 | M | 297 | $0.00 | A | 5,105 | D | |
| Common Stock | Mar 4, 2018 | J | 7 | $0.00 | A | 5,112 | D | |
| Common Stock | Mar 4, 2018 | F | 75 | $0.00 | D | 5,037 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF10,F11 | $0.00 | Mar 2, 2018 | A | 6,452 | A | — | — | Common Stock | 6,452 | 6,452 | D |
| Restricted Stock UnitF10,F1 | $0.00 | Mar 2, 2018 | M | 909 | D | — | — | Common Stock | 909 | 0 | D |
| Restricted Stock UnitF10,F4 | $0.00 | Mar 2, 2018 | M | 275 | D | — | — | Common Stock | 275 | 275 | D |
| Restricted Stock UnitsF10,F7 | $0.00 | Mar 4, 2018 | M | 297 | D | — | — | Common Stock | 297 | 590 | D |
Explanation of responses
- F1These shares represent restricted stock units granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.
- F10Each 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.
- F11These shares represent restricted stock units granted on March 2, 2018 pursuant to Issuer's Omnibus Stock Incentive Plan of 2009 and vest in one installment on March 4, 2021 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, 2018
- 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 on March 2, 2016 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.
- 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 2, 2018.
- 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.
- F7These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.
- F8These 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 (7) above) that vested on March 4, 2018.
- F9Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (7) and (8) above.