SEC Form 4 · accession 0001209191-18-062487
COTT CORP /CN/ · COT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Harrington
Officer — CEO - DS Services
Period of report
Dec 11, 2018
Accepted (ET)
Dec 13, 2018 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000884713
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Dec 11, 2018 | A | 39,168 | $0.00 | A | 92,197 | D | |
| Common SharesF2 | holding | — | — | — | 52,493 | I | By TAH Capital, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $14.68 | Dec 11, 2018 | A | 214,552 | A | — | Dec 11, 2028 | Common Shares | 214,552 | 214,552 | D |
Explanation of responses
- F1Represents time-based restricted share units ("RSUs"), which are contingent rights to receive common shares. RSUs that have not been forfeited shall vest in equal one-third installments on each of the first, second and third anniversaries of the grant date.
- F2The reported shares are owned by TAH Capital, LLC, of which Mr. Harrington is the Managing Member. Mr. Harrington disclaims beneficial ownership of the reported shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Harrington is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F3Represents an option to purchase 214,552 common shares of Cott. The option vests in equal one-third installments on each of the first, second and third anniversaries of the grant date.