SEC Form 4 · accession 0001209191-16-089194
PEPSICO INC · PEP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hugh F Johnston
Officer — EVP PepsiCo & CFO
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 6:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000077476
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| PepsiCo, Inc. Common StockF1 | holding | — | — | — | 242 | I | by 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F2,F4 | — | Sep 30, 2015 | A | 171 | A | — | — | PepsiCo, Inc. Common Stock | 171 | 23,529 | D |
| Phantom Stock UnitsF5,F6,F2 | — | Jan 1, 2016 | D | 359 | D | — | — | PepsiCo, Inc. Common Stock | 359 | 23,154 | D |
Explanation of responses
- F1Reflects the number of shares held under the reporting person's account in the PepsiCo Savings Plan as of January 1, 2016, and reflects a transfer exempt under Rule 16a-12 since the date of the reporting person's last ownership report.
- F2Represents units under the PepsiCo Executive Income Deferral Program (the "EID"), each of which is the economic equivalent of one share of PepsiCo Common Stock.
- F3Reflects dividends credited pursuant to the EID.
- F4Payable pursuant to the reporting person's election and the terms of the EID.
- F5Represents an automatic distribution (required to be settled in cash in accordance with the terms of the EID) pursuant to an irrevocable election made in 2002 with respect to 2002 bonus.
- F6Also reflects a decrease of 15.6953 in the total number of units held, resulting from daily fluctuations in the market value of PepsiCo Common Stock.