Statement of Changes in Beneficial Ownership (4)
December 13 2019 - 4:26PM
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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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
*
Harrington Thomas |
2. Issuer Name and Ticker or Trading Symbol
COTT CORP /CN/
[
COT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
4221 WEST BOY SCOUT BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/11/2019 |
(Street)
TAMPA, FL 33607
(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 Shares | 12/11/2019 | | F | | 3180 (1) | D | $13.67 | 117384 | D | |
Common Shares | 12/11/2019 | | A | | 45720 (2) | A | $0.00 | 163104 | D | |
Common Shares | | | | | | | | 132493 (3) | I | By TAH Capital, LLC |
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 |
Stock Option (right to buy) | $13.67 | 12/11/2019 | | A | | 274926 | | (4) | 12/11/2029 | Common Shares | 274926 | $0.00 | 274926 | D | |
Explanation of Responses: |
(1) | Represents the number of common shares withheld to satisfy tax obligations due upon the vesting of time-based units granted to Mr. Harrington on December 11, 2018. |
(2) | Represents time-based restricted share units ("RSUs"), which are contingent rights to receive common shares. RSUs that have not been forfeited shall vest in equal one-third installments on each of the first, second and third anniversaries of the grant date. |
(3) | The reported shares are owned by TAH Capital, LLC, of which Mr. Harrington is the Managing Member. Mr. Harrington disclaims beneficial ownership of the reported shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Harrington is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
(4) | Represents an option to purchase 274,926 common shares of Cott. The option vests in equal one-third installments on each of the first, second and third anniversaries of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Harrington Thomas 4221 WEST BOY SCOUT BOULEVARD TAMPA, FL 33607 |
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| Chief Executive Officer |
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Signatures
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/s/ Marni Morgan Poe, Attorney-in-Fact | | 12/13/2019 |
**Signature of Reporting Person | Date |
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