BENEFICIAL OWNERSHIP OF COMMON STOCK
The following table sets forth information concerning the “beneficial ownership” of our common stock by: (i) those persons who we know to beneficially own more than 5% of our outstanding common stock; (ii) our current directors and nominees; (iii) the “named executive officers” listed in the
Summary Compensation Table; and (iv) all of our current directors and executive officers as a group. Under SEC rules, “beneficial ownership” for purposes of this table takes into account shares as to which the individual has or shares voting and/or investment power as well as shares that may be acquired within 60 days (such as by exercising vested stock options) and is different from beneficial ownership for purposes of Section 16 of the Exchange Act, which may result in a number that is different than the beneficial ownership number reported in forms filed pursuant to Section 16. Information is provided as of December 19, 2016 except as otherwise stated. An asterisk in the percent of class column indicates beneficial ownership of less than 1%. The beneficial owners listed have sole voting and investment power with respect to shares beneficially owned, except as to the interests of spouses or as otherwise indicated.
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Name of Beneficial Owner
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Shares(1)
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Options(2)
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Restricted Stock Units(3)
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Deferred Stock Units(4)
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Total Beneficial Ownership
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Percent of Class(5)
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Directors and Officers |
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Howard Schultz |
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38,199,198(6) |
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5,652,997 |
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— |
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— |
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43,852,195 |
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2.99% |
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William W. Bradley |
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19,014 |
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119,772 |
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4,634 |
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25,968 |
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169,388 |
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* |
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Rosalind Brewer |
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— |
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— |
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— |
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— |
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— |
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— |
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Mary N. Dillon |
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— |
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3,480 |
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— |
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2,154 |
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5,634 |
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* |
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Robert M. Gates |
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6,600 |
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— |
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— |
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30,512 |
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37,112 |
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* |
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Mellody Hobson |
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430,262(7) |
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179,548 |
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— |
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16,700 |
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626,510 |
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* |
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Kevin R. Johnson |
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86,510 |
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220,949 |
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— |
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— |
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307,459 |
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* |
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Jørgen Vig Knudstorp |
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— |
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— |
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— |
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— |
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— |
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— |
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Satya Nadella |
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— |
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— |
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— |
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— |
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— |
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— |
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Joshua Cooper Ramo |
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5,868 |
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60,000 |
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— |
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26,799 |
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92,667 |
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* |
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James G. Shennan, Jr. |
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391,968(8) |
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53,310 |
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4,634 |
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38,473 |
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488,385 |
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* |
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Clara Shih |
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17,105 |
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13,122 |
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— |
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8,348 |
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38,575 |
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* |
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Javier G. Teruel |
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93,945 |
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381,500 |
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— |
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16,216 |
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491,661 |
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* |
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Myron E. Ullman, III |
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14,000 |
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461,222 |
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— |
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— |
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475,222 |
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* |
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Craig E. Weatherup |
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38,466(9) |
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288,256 |
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— |
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— |
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326,722 |
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* |
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Clifford Burrows |
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135,882 |
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1,064,151 |
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— |
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— |
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1,200,033 |
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* |
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John Culver |
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228,035 |
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592,857 |
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— |
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— |
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820,892 |
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* |
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Scott Maw |
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50,381 |
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152,832 |
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— |
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— |
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203,213 |
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* |
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All current directors and executive officers as a group (19) persons |
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39,804,711 |
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9,606,053 |
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9,268 |
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165,170 |
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49,580,072 |
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3.4% |
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5% Shareholders |
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FMR LLC |
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98,215,721(10) |
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— |
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— |
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— |
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98,215,721 |
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6.74% |
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BlackRock, Inc. |
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83,726,181(11) |
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— |
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— |
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— |
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83,726,181 |
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5.74% |
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The Vanguard Group |
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83,679,860(12) |
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— |
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— |
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— |
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83,679,860 |
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5.74% |
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(1)
Represents the number of shares of common stock beneficially owned on December 19, 2016.
(2)
Represents options that were exercisable on December 19, 2016 and options that become exercisable within 60 days of December 19, 2016.
(3)
Represents time-based restricted stock units granted November 21, 2016 and exercisable within 60 days of December 19, 2016.
(4)
Represents the number of common stock units held under our Deferred Compensation Plan for Non-Employee Directors.
(5)
Based on 1,457,110,000 shares of Starbucks common stock outstanding on December 19, 2016. Percent of class as of December 19, 2016 is calculated for each person and group by dividing the number of shares beneficially owned by the sum of the total shares outstanding plus the number of shares subject to securities beneficially owned by that person or group.
(6)
Includes 1,765,300 shares of common stock held by the Schultz Family Foundation as to which Mr. Schultz disclaims beneficial ownership and 550,181 shares held by a family-owned limited liability company. Also includes 3,350,000 shares of common stock held by Mr. Schultz’s spouse and 3,350,000 shares held in three grantor retained annuity trusts for which Mr. Schultz is the sole trustee and sole beneficiary. Mr. Schultz had 1,400,000 of his shares pledged to secure a line of credit.
(7)
Includes 283,146 shares of common stock held by The GWL Living Trust as to which Ms. Hobson disclaims beneficial ownership.
(8)
Consists of 124,880 shares held by Shennan Family Investments LLC, a limited liability company in which Mr. Shennan is a manager, 232,088 shares held by Shennan LLC, a limited liability company in which Mr. Shennan is a manager and 35,000 shares held in a trust of which Mr. Shennan or his spouse is a trustee for the benefit of members of the Shennan family.
(9)
Consists of 38,466 shares held in a trust of which Mr. Weatherup and his wife are trustees for the benefit of members of the Weatherup family.
(10)
FMR LLC stated in its Schedule 13G filing with the SEC on February 12, 2016 (the “FMR 13G filing”) that, of the 98,215,721 shares beneficially owned at December 31, 2015, it has (a) sole voting power with respect to 7,632,604 shares, (b) shared voting power with respect to no shares, and (c) sole power to dispose of 98,215,721 shares. According to the FMR 13G filing, the address of FMR LLC is 245 Summer Street, Boston,