Statement of Changes in Beneficial Ownership (4)
March 05 2021 - 04:38PM
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).
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 * Mondelez International,
Inc. |
2. Issuer Name and Ticker or Trading
Symbol Keurig Dr Pepper Inc. [ KDP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
905 WEST FULTON MARKET, SUITE 200 |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/3/2021
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(Street)
CHICAGO, IL 60607
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock (1) |
3/3/2021 |
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A |
|
10452 (2) |
A |
$0.00 |
49920 |
I |
See footnote (1) |
Common Stock |
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118218223 |
D |
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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) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Dirk Van de Put and Gerhard
Pleuhs (the "Directors") are officers of Mondelez International,
Inc. ("Mondelez International") and serve on the Board of Directors
of Keurig Dr Pepper Inc. ("KDP"). On March 3, 2021, KDP granted to
the Directors, in their capacities as directors of KDP, an
aggregate of 10,452 restricted stock units. The Directors have
agreed that they will not receive any separate compensation for
serving as directors of KDP and will transfer to Mondelez
International any director compensation they receive from KDP,
including any awards made pursuant to grants of restricted stock
units. |
(2) |
Subject to certain vesting
conditions and exceptions, these restricted stock units vest on
March 3, 2026. Each restricted stock unit represents a contingent
right to receive one share of KDP's Common Stock upon
vesting. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Mondelez International, Inc.
905 WEST FULTON MARKET
SUITE 200
CHICAGO, IL 60607 |
X |
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Signatures
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/s/ Ellen M. Smith, Senior Vice President and
Chief Counsel, Corporate Secretary |
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3/5/2021 |
**Signature of Reporting
Person |
Date |