Statement of Changes in Beneficial Ownership (4)
December 20 2019 - 5:53PM
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
*
WOODFORD BRENT |
2. Issuer Name and Ticker or Trading Symbol
Walt Disney Co
[
DIS
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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) EVP, Control, Fin Plan & Tax |
(Last)
(First)
(Middle)
500 SOUTH BUENA VISTA STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/19/2019 |
(Street)
BURBANK, CA 91521
(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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Disney Common Stock | 12/19/2019 | | M | | 2202.9804 (1) | A | $146.0586 | 35606.9804 | D | |
Disney Common Stock | 12/19/2019 | | F | | 1093.9804 (2) | D | $146.0586 | 34513 | D | |
Disney Common Stock | 12/19/2019 | | M | | 3515 (1) | A | $146.0586 | 38028 | D | |
Disney Common Stock | 12/19/2019 | | F | | 1743 (3) | D | $146.0586 | 36285 | D | |
Disney Common Stock | 12/19/2019 | | S | | 739 (4) | D | $146.32 | 35546 | D | |
Disney Common Stock | | | | | | | | 282.955 (5) | I | By 401(k) |
Disney Common Stock | | | | | | | | 100 | I | By Spouse in IRA |
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 |
Restricted Stock Unit | (6) | 12/19/2019 | | M | | | 2202.9804 | (1) | 12/19/2019 | Disney Common Stock | 2202.9804 | $0 | 0 | D | |
Restricted Stock Unit | (6) | 12/19/2019 | | M | | | 3515 | (1) | 12/19/2019 | Disney Common Stock | 3515.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Vesting of shares connected with grant under The Walt Disney Company's 2002 Executive Performance Plan and 2011 Stock Incentive Plan. Includes dividend equivalents credited with respect to the award, pursuant to the terms thereof. |
(2) | The 1,093.9804 shares reported as a disposition represent an automatic reduction of shares issued to the reporting person to discharge withholding tax obligations of reporting person and do not constitute an actual sale or other open-market transaction. The total also reflects a deduction for cash paid in lieu of fractional shares upon conversion of previously-granted units to shares. |
(3) | The 1,743 shares reported as a disposition represent an automatic reduction of shares issued to the reporting person to discharge withholding tax obligations of reporting person and do not constitute an actual sale or other open-market transaction. |
(4) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. |
(5) | Shares held in The Walt Disney Stock Fund as of December 19, 2019. The Fund is one investment option in the 401(k) Plan and contains Company matching contributions. |
(6) | Converts at 1-for-1. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WOODFORD BRENT 500 SOUTH BUENA VISTA STREET BURBANK, CA 91521 |
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| EVP, Control, Fin Plan & Tax |
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Signatures
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/s/ Jolene E. Negre, as attorney-in-fact | | 12/20/2019 |
**Signature of Reporting Person | Date |
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