SEC Form 4 · accession 0001127602-15-033919
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
Dec 9, 2015
Accepted (ET)
Dec 11, 2015 · 6:09 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 Stock | Dec 8, 2015 | G | 14,114 | $0.00 | D | 140,698 | D | |
| Common Stock | Dec 9, 2015 | M | 3,356 | $21.82 | A | 144,054 | D | |
| Common Stock | Dec 9, 2015 | M | 10,000 | $26.27 | A | 154,054 | D | |
| Common StockF1 | Dec 9, 2015 | S | 13,356 | $62.0518 | D | 140,698 | 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)F2 | $21.82 | Dec 9, 2015 | M | 3,356 | D | — | Nov 14, 2021 | Common Stock | 3,356 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F3 | $26.27 | Dec 9, 2015 | M | 10,000 | D | — | Jun 15, 2022 | Common Stock | 10,000 | 29,244 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $61.60 to $62.53. 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.
- F2The option, representing the right to buy a total of 13,426 shares, became exercisable in one increment of 3,358 shares on November 14, 2012, and three increments of 3,356 shares each on November 14, 2013, November 14, 2014 and November 14, 2015.
- F3The option, representing a right to purchase a total of 39,244 shares, became exercisable in two increments of 9,812 shares each on June 15, 2013 and June 15, 2014, in one increment of 9,810 shares on June 15, 2015 and 9,810 shares will become exercisable on June 15, 2016.