SEC Form 4 · accession 0001127602-15-026698
STARBUCKS CORP · SBUX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G Shennan Jr.
Director
Period of report
Sep 3, 2015
Accepted (ET)
Sep 8, 2015 · 6:49 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,F2 | Sep 3, 2015 | M | 19,724 | $15.21 | A | 53,274 | D | |
| Common StockF3 | Sep 3, 2015 | S | 19,724 | $55.2663 | D | 33,550 | D | |
| Common StockF1 | holding | — | — | — | 60,000 | I | By Shennan 1995 Trust | |
| Common StockF1 | holding | — | — | — | 124,880 | I | By Shennan Family Investments LLC | |
| Common StockF1 | holding | — | — | — | 312,088 | I | By Shennan LLC |
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)F4 | $15.21 | Sep 3, 2015 | M | 19,724 | D | Nov 16, 2006 | Nov 16, 2015 | Common Stock | 19,724 | 0 | D |
Explanation of responses
- F1On April 9, 2015, Starbucks Corporation effected a 2-for-1 stock split. The number of shares reported has been adjusted to reflect the stock split.
- F2Includes 106 deferred stock units (adjusted to reflect the stock split) acquired on November 28, 2014; 94 deferred stock units (adjusted to reflect the stock split) acquired on February 20, 2015; 84 deferred stock units acquired on May 22, 2015 and 82 deferred stock units acquired on August 21, 2015, representing dividends on deferred stock units pursuant to a dividend reinvestment plan.
- F3This transaction was executed in multiple trades at prices ranging from $55.160 to $55.275. 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.
- F4Exercise price and number of share/option awards has been adjusted to reflect the issuer's 2-for-1 stock split effected April 9, 2015.