Statement of Changes in Beneficial Ownership (4)
March 17 2021 - 5:29PM
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
*
Gamgort Robert James |
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 __X__ Officer (give title below) _____ Other (specify below) CEO & Chairman |
(Last)
(First)
(Middle)
5301 LEGACY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/15/2021 |
(Street)
PLANO, TX 75024
(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 | 3/15/2021 | | M | | 2409995 | A | $0.00 (1) | 4819989 | D | |
Common Stock | 3/15/2021 | | F | | 943867 (2) | D | $33.58 | 3876122 | D | |
Common Stock | 3/15/2021 | | M | | 530199 | A | $0.00 (1) | 4406321 | D | |
Common Stock | 3/15/2021 | | F | | 204167 (2) | D | $33.58 | 4202154 | D | |
Common Stock | 3/15/2021 | | M | | 530199 | A | $0.00 (1) | 4732353 | D | |
Common Stock | 3/15/2021 | | F | | 204167 (2) | D | $33.58 | 4528186 | D | |
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 |
Restricted Stock Units | (1) | 3/15/2021 | | M | | | 2409995 | (3) | (3) | Common Stock | 2409995 | $0.00 | 0 | D | |
Restricted Stock Units | (1) | 3/15/2021 | | M | | | 530199 | (3) | (3) | Common Stock | 530199 | $0.00 | 0 | D | |
Restricted Stock Units | (1) | 3/15/2021 | | M | | | 530199 | (3) | (3) | Common Stock | 530199 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units ("RSUs") converted into common stock on a one-for-one basis. |
(2) | Shares withheld for payment of applicable taxes upon vesting of RSUs in accordance with Rule 16b-3. |
(3) | As previously disclosed, these RSUs were acquired by the reporting person as a result of the conversion of restricted stock units of Maple Parent Holdings Corp. ("Maple") to restricted stock units of the Issuer pursuant to the Agreement and Plan of Merger, dated as of January 29, 2018, by and among Maple, Dr Pepper Snapple Group, Inc. and Salt Merger Sub, Inc. The RSUs vested in full on March 15, 2021. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gamgort Robert James 5301 LEGACY DRIVE PLANO, TX 75024 | X |
| CEO & Chairman |
|
Signatures
|
/s/ Anthony Shoemaker, attorney in fact | | 3/17/2021 |
**Signature of Reporting Person | Date |
Keurig Dr Pepper (NYSE:KDP)
Historical Stock Chart
From Aug 2024 to Sep 2024
Keurig Dr Pepper (NYSE:KDP)
Historical Stock Chart
From Sep 2023 to Sep 2024