Statement of Changes in Beneficial Ownership (4)
June 28 2018 - 6:38PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
SCHULTZ HOWARD D
|
2. Issuer Name
and
Ticker or Trading Symbol
STARBUCKS CORP
[
SBUX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
chairman emeritus
|
(Last)
(First)
(Middle)
2401 UTAH AVENUE SOUTH, SUITE 800
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/26/2018
|
(Street)
SEATTLE, WA 98134
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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
|
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
|
11/30/2017
|
|
G
|
V
|
830000
|
D
|
$0
|
1170000
|
I
|
by spouse
|
Common Stock
|
11/30/2017
|
|
G
|
V
|
830000
|
A
|
$0
|
31458282
(1)
|
D
|
|
Common Stock
|
11/30/2017
|
|
G
|
V
|
575000
|
D
|
$0
|
30883282
|
D
|
|
Common Stock
|
12/8/2017
|
|
G
|
V
|
1060000
|
D
|
$0
|
0
|
I
|
by spouse
|
Common Stock
|
12/8/2017
|
|
G
|
V
|
1060000
|
A
|
$0
|
33003282
(2)
|
D
|
|
Common Stock
|
6/26/2018
|
|
A
|
|
20735
(3)
|
A
|
$0
|
33024017
|
D
|
|
Common Stock
|
6/26/2018
|
|
F
|
|
21749
(4)
|
D
|
$50.38
|
33002268
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
1170000
|
I
|
by GRAT
|
Common Stock
|
|
|
|
|
|
|
|
525181
|
I
|
by Family Owned LLC
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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)
|
Includes 830,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on November 30, 2017 as an annuity payment that was exempt from Section 16 pursuant to Rule 16a-13.
|
(2)
|
Includes 1,060,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on December 7, 2017 as an annuity payment in termination of the GRAT that was exempt from Section 16 pursuant to Rule 16a-13.
|
(3)
|
Pursuant to the terms of a Retirement Agreement between the issuer and the reporting person, dated June 1, 2018, effective on June 26, 2018, (1) 31,566 shares subject to the performance-based Restricted Stock Unit ("RSU") granted on November 15, 2017 were deemed earned and vested and (2) 30,945 shares previously reported as part of the 83,553 shares earned pursuant to the performance-based RSU granted on November 16, 2015 (the "November 2015 Grant"), of which 41,777 shares vested on November 16, 2017 and 41,776 were scheduled to vest on November 16, 2018, became vested. The number shown includes the forfeiture of the remaining 10,831 shares subject to the November 2015 Grant.
|
(4)
|
Shares withheld by the issuer to satisfy tax withholding obligations upon vesting of RSUs; not an open market transaction.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
SCHULTZ HOWARD D
2401 UTAH AVENUE SOUTH, SUITE 800
SEATTLE, WA 98134
|
|
|
|
chairman emeritus
|
Signatures
|
/s/ Alejandro C. Torres, attorney-in-fact for Howard Schultz
|
|
6/28/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Starbucks (NASDAQ:SBUX)
Historical Stock Chart
From Mar 2024 to Apr 2024
Starbucks (NASDAQ:SBUX)
Historical Stock Chart
From Apr 2023 to Apr 2024