SEC Form 4 · accession 0001209191-19-016529
Keurig Dr Pepper Inc. · KDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Harf
Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 4:34 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 StockF1 | Mar 1, 2019 | P | 156,800 | $25.4401 | A | 156,800 | I | By HFS S.a.r.l |
| Common Stock | holding | — | — | — | 21,400 | I | By wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | $0.00 | Mar 4, 2019 | A | 6,143 | A | — | — | Common Stock | 6,143 | 6,143 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.25 to $25.50, inclusive. The reporting person undertakes to provide to Keurig Dr Pepper Inc., any security holder of Keurig Dr Pepper Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F2Each 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, as amended.
- F3These restricted stock units vest in one installment on March 4, 2024 and will be settled in shares of the Issuer's Common Stock on the vesting date.