- Statement of Changes in Beneficial Ownership (4)
November 08 2011 - 7:28PM
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
Expires:
November 30, 2011
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, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ODEA PATRICK
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2. Issuer Name
and
Ticker or Trading Symbol
PEETS COFFEE & TEA INC
[
PEET
]
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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)
President & CEO
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(Last)
(First)
(Middle)
C/O PEET'S COFFEE & TEA, INC., 1400 PARK AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/4/2011
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(Street)
EMERYVILLE, CA 94608
(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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11/4/2011
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M
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29100
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A
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$23.57
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98756
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D
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Common Stock
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11/4/2011
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S
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10358
(1)
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D
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$60.97
(2)
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88398
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D
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Common Stock
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11/4/2011
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S
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18642
(1)
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D
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$60.97
(3)
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69756
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D
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Common Stock
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11/4/2011
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S
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100
(1)
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D
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$61.95
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69656
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D
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Common Stock
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11/7/2011
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M
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900
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A
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$23.57
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70556
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D
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Common Stock
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11/7/2011
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M
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33500
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A
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$26.34
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104056
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D
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Common Stock
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11/7/2011
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S
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30810
(1)
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D
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$58.89
(4)
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73246
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D
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Common Stock
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11/7/2011
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S
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3490
(1)
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D
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$58.89
(5)
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69756
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D
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Common Stock
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11/7/2011
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S
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100
(1)
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D
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$60.6
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69656
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D
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Common Stock
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11/8/2011
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M
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16498
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A
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$26.34
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86154
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D
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Common Stock
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11/8/2011
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M
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23837
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A
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$26.48
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109991
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D
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Common Stock
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11/8/2011
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M
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12700
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A
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$26.5
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122691
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D
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Common Stock
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11/8/2011
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S
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46015
(1)
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D
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$58.37
(6)
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76676
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D
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Common Stock
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11/8/2011
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S
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7020
(1)
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D
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$58.37
(7)
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69656
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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. 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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Stock Option (Right to Buy)
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$23.57
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11/4/2011
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M
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29100
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(8)
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5/21/2018
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Common Stock
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29100
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(9)
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10900
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D
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Stock Option (Right to Buy)
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$23.57
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11/7/2011
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M
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900
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(8)
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5/21/2018
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Common Stock
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900
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(9)
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10000
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D
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Stock Option (Right to Buy)
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$26.34
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11/7/2011
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M
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33500
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(10)
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5/20/2019
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Common Stock
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33500
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(9)
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66500
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D
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Stock Option (Right to Buy)
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$26.34
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11/8/2011
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M
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16498
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(10)
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5/20/2019
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Common Stock
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16498
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(9)
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50002
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D
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Stock Option (Right to Buy)
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$26.48
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11/8/2011
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M
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23837
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(11)
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5/17/2015
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Common Stock
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23837
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(9)
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2648
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D
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Stock Option (Right to Buy)
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$26.5
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11/8/2011
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M
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12700
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(12)
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5/23/2017
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Common Stock
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12700
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(9)
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0
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D
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Explanation of Responses:
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(
1)
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The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
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(
2)
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Represents weighted average sales price. The shares were sold at prices ranging from $59.89 to $60.89. The Reporting Person will provide upon request, to the SEC, the Issuer or 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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Represents weighted average sales price. The shares were sold at prices ranging from $60.92 to $61.87. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
4)
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Represents weighted average sales price. The shares were sold at prices ranging from $58.33 to $59.32 The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
5)
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Represents weighted average sales price. The shares were sold at prices ranging from $59.35 to $60.31. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
6)
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Represents weighted average sales price. The shares were sold at prices ranging from $57.74 to $58.73 The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
7)
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Represents weighted average sales price. The shares were sold at prices ranging from $58.74 to $59.45 The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
8)
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The option vests 25% per year over 4 years beginning on 5/21/08.
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(
9)
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Not applicable.
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(
10)
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The option vests 25% per year over 4 years beginning on 5/20/09.
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(
11)
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Vested as to shares that are being exercised.
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(
12)
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The option vests 25% per year over 4 years beginning on 5/23/07.
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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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ODEA PATRICK
C/O PEET'S COFFEE & TEA, INC.
1400 PARK AVENUE
EMERYVILLE, CA 94608
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X
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President & CEO
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Signatures
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Patrick O'Dea, by /s/ Robin Riske, Attorney-in-fact
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11/8/2011
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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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