SEC Form 4 · accession 0001127602-15-011747
STARBUCKS CORP · SBUX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lucy Lee Helm
Officer — evp, gen. counsel & secretary
Period of report
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 6:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000829224
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 13, 2015 | M | 10,000 | $49.74 | A | 63,422 | D | |
| Common StockF2 | Mar 13, 2015 | S | 10,000 | $92.9034 | D | 53,422 | D | |
| Common Stock | Mar 13, 2015 | G | 7,799 | $0.00 | D | 45,623 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)F3 | $49.74 | Mar 13, 2015 | M | 10,000 | D | Nov 19, 2013 | Nov 19, 2022 | Common Stock | 10,000 | 29,491 | D |
Explanation of responses
- F1Includes 59 shares purchased on December 31, 2014, pursuant to the Starbucks Corporation Employee Stock Purchase Plan.
- F2This transaction was executed in multiple trades at prices ranging from $92.90 to $92.93. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3The option, representing the right to buy a total of 39,491 shares, became exercisable in two increments of 9,873 shares each on November 19, 2013 and November 19, 2014, and will become exercisable in one increment of 9,873 shares on November 19, 2015 and one increment of 9,872 shares on November 19, 2016.