Initial Statement of Beneficial Ownership (3)
January 11 2019 - 4:41PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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
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Barton Nina
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2019
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3. Issuer Name
and
Ticker or Trading Symbol
Kraft Heinz Co [KHC]
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(Last)
(First)
(Middle)
THE KRAFT HEINZ COMPANY, ONE PPG PLACE, SUITE 3200
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Zone Pres Canada, Pres Digital /
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(Street)
PITTSBURGH, PA 15222
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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30534
(1)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Stock Options (right to buy)
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2/25/2016
(2)
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2/25/2023
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Common Stock
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4901.0
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$38.63
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D
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Stock Options (right to buy)
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2/27/2017
(3)
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2/27/2024
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Common Stock
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8446.0
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$45.59
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D
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Stock Options (right to buy)
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2/26/2018
(4)
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2/26/2025
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Common Stock
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7572.0
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$52.7
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D
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Stock Options (right to buy)
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8/20/2020
(5)
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8/20/2025
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Common Stock
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20203.0
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$74.25
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D
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Stock Options (right to buy)
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8/31/2021
(6)
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8/31/2026
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Common Stock
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16762.0
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$89.49
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D
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Stock Options (right to buy)
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3/1/2022
(7)
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3/1/2027
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Common Stock
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21875.0
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$91.43
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D
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Explanation of Responses:
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(1)
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Represents 25,061 restricted stock units (859 restricted stock units issued pursuant to the Issuer's Bonus Swap Program that vest on March 1, 2021, subject to limited pro rata vesting in certain circumstances such as termination without cause, death or disability; 1,777 restricted stock units issued pursuant to the Issuer's Bonus Swap Program that vest on March 1, 2022, subject to limited pro rata vesting in certain circumstances such as termination without cause, death or disability; and 22,425 restricted stock units that will vest on March 1, 2023, subject to certain forfeiture conditions), 5,249 shares of common stock and 224 dividend equivalent shares acquired through a dividend reinvestment program.
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(2)
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Options vested in annual installments on February 25, 2014, February 25, 2015 and February 25, 2016.
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(3)
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Options vested in annual installments on February 27, 2015, February 27, 2016 and February 27, 2017.
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(4)
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Options vested in annual installments on February 26, 2016, February 26, 2017 and February 26, 2018.
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(5)
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Options cliff-vest on August 20, 2020, subject to pro rata vesting in certain circumstances, such as termination without cause, death or disability.
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(6)
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Options cliff-vest on August 31, 2021, subject to pro rata vesting in certain circumstances, such as termination without cause, death or disability.
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(7)
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Options cliff-vest on March 1, 2022, subject to pro rata vesting in certain circumstances, such as termination without cause, death or disability.
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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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Barton Nina
THE KRAFT HEINZ COMPANY
ONE PPG PLACE, SUITE 3200
PITTSBURGH, PA 15222
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Zone Pres Canada, Pres Digital
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Signatures
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/s/ Anika Hermann Bargfrede, by Power of Attorney
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1/11/2019
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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 5(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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