SEC Form 4 · accession 0001179110-15-006627
KEURIG GREEN MOUNTAIN, INC. · GMCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F. Whoriskey
Officer — Pres. US Sales and Marketing
Period of report
Apr 23, 2015
Accepted (ET)
Apr 27, 2015 · 5:40 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 | Apr 23, 2015 | M | 113 | — | A | 1,230 | D | |
| Common StockF4,F3 | Apr 24, 2015 | F | 38 | $113.94 | D | 1,192 | D | |
| Common Stock | holding | — | — | — | 112 | I | By 401(k)Plan |
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 | — | Apr 23, 2015 | M | 113 | D | — | — | Common Stock | 113 | 92 | 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 April 23, 2012 the reporting person was granted 452 restricted stock units which vest in four equal installments. Each restricted stock unit represents a contingent right to receive one share of Common Stock. 113 of the restricted units vested on April 23, 2015.
- F3This transaction was executed in multiple trades at prices ranging from $113.89 to $114.21. 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.
- F4This number represents shares of Common Stock sold to satisfy the tax obligation due upon vesting of the restricted stock units.