SEC Form 4 · accession 0001179110-15-004605
KEURIG GREEN MOUNTAIN, INC. · GMCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frances G Rathke
Officer — Chief Financial Officer
Period of report
Mar 7, 2015
Accepted (ET)
Mar 10, 2015 · 4:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000909954
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 7, 2015 | M | 1,135 | — | A | 6,367 | D | |
| Common StockF3 | Mar 9, 2015 | F | 385 | $125.8139 | D | 5,982 | D | |
| Common Stock | holding | — | — | — | 1,477 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 107,523 | I | By Rathke Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Mar 7, 2015 | M | 1,135 | D | — | — | Common Stock | 1,135 | 2,269 | D |
Explanation of responses
- F1The reporting person had vested restricted stock units settled in shares of common stock par value $0.10, of Keurig Green Mountain, Inc. ("Common Stock).
- F2On March 7, 2013 the reporting person was granted 4,538 restricted stock units which vest in four equal installments. Each restricted stock unit represents a contingent right to receive one share of Common Stock. 1,135 of the restricted units vested on March 7, 2015.
- F3This transaction was executed in multiple trades at prices ranging from $125.15 to $125.86. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC Staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.