SEC Form 4 · accession 0001127602-15-031230
STARBUCKS CORP · SBUX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard D Schultz
Officer — chairman and ceo · Director
Period of report
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 9:01 pm EST
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 | Sep 11, 2015 | G | 645,000 | $0.00 | D | 1,355,000 | I | by spouse |
| Common StockF1,F2 | Sep 11, 2015 | G | 645,000 | $0.00 | A | 33,206,814 | D | |
| Common StockF3 | Nov 10, 2015 | A | 208,668 | $0.00 | A | 34,060,482 | D | |
| Common Stock | holding | — | — | — | 1,355,000 | I | by GRAT | |
| Common Stock | holding | — | — | — | 500,000 | I | by GRAT | |
| Common Stock | holding | — | — | — | 500,000 | I | by spouse | |
| Common Stock | holding | — | — | — | 550,181 | I | Family Owned LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This gift transaction represents an annuity payment from a grantor retained annuity trust (GRAT) previously established by the reporting person's spouse for which the reporting person serves as trustee, to a joint account of the reporting person and his spouse.
- F2Includes 645,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on September 11, 2015 as an annuity payment that was exempt from Section 16 pursuant to Rule 16a-13.
- F3Restricted Stock Units ("RSUs") earned on the achievement of performance goals under performance-based RSUs granted on November 11, 2013. The RSUs are scheduled to vest, subject to continued employment, as follows, 104,334 shares on November 11, 2015 and 104,334 shares on November 11, 2016.