Statement of Changes in Beneficial Ownership (4)
November 16 2017 - 6:50PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SCHULTZ HOWARD D
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2. Issuer Name
and
Ticker or Trading Symbol
STARBUCKS CORP
[
SBUX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
executive chairman
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(Last)
(First)
(Middle)
2401 UTAH AVENUE SOUTH, SUITE 800
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/14/2017
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(Street)
SEATTLE, WA 98134
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/14/2017
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A
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83553
(1)
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A
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$0
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29872564
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D
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Common Stock
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11/15/2017
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M
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290176
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A
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$11.435
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30162740
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D
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Common Stock
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11/15/2017
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S
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290176
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D
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$57.0289
(2)
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29872564
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D
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Common Stock
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2000000
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I
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by GRAT
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Common Stock
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2000000
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I
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by spouse
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Common Stock
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550181
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I
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by Family Owned LLC
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Common Stock
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1060000
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I
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by GRAT
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Common Stock
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1060000
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I
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by spouse
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-qualified Stock Option (Right to Buy)
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$11.435
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11/15/2017
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M
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290176
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(3)
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11/19/2017
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Common Stock
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290176
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$0
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784050
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D
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Explanation of Responses:
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(1)
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Restricted Stock Units ("RSUs") earned on the achievement of performance goals under performance-based RSUs granted on November 16, 2015. The RSUs are scheduled to vest, subject to continued employment, as follows; 41,777 shares on November 16, 2017 and 41,776 shares on November 16, 2018.
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(2)
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This transaction was executed in multiple trades at prices ranging from $57.025 to $57.03. 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.
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(3)
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The option, representing the right to buy a total of 1,374,226 shares, became exercisable in an increment of 343,558 shares on November 19, 2008, and increments of 343,556 shares each on November 19, 2009, November 19, 2010 and November 19, 2011. The exercise price and number of shares subject to the option were adjusted in accordance with the terms of the stock option plan to reflect the 2-for-1 stock split that occurred on April 9, 2015.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SCHULTZ HOWARD D
2401 UTAH AVENUE SOUTH, SUITE 800
SEATTLE, WA 98134
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X
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executive chairman
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Signatures
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/s/ Robert L. Villasenor, attorney-in-fact for Howard Schultz
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11/16/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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