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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-qualified Stock Option (Right to Buy) | $ 15.3925 | 05/09/2016 | M | 20,214 | (3) | 11/15/2020 | Common Stock | 20,214 | $ 0 | 0 | D | ||||
Non-qualified Stock Option (Right to Buy) | $ 21.82 | 05/09/2016 | M | 125,316 | (4) | 11/14/2021 | Common Stock | 125,316 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CULVER JOHN 2401 UTAH AVENUE SOUTH, SUITE 800 SEATTLE, WA 98134 |
group pres, CAP, Channel Dev |
/s/ Robert L. Villasenor, attorney-in-fact for John Culver | 05/11/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 37 shares purchased on December 31, 2015 and 305 shares purchased on March 31, 2016, pursuant to the Starbucks Corporation Employee Stock Purchase Plan. |
(2) | This transaction was executed in multiple trades at prices ranging from $56.50 to $56.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(3) | The option, representing the right to buy a total of 167,194 shares, became exercisable in one increment of 41,800 shares on November 15, 2011 and three increments of 41,798 shares each on November 15, 2012, November 15, 2013 and November 15, 2014. |
(4) | The option, representing the right to buy a total of 125,316 shares, became exercisable in two increments of 31,330 shares each on November 14, 2012 and November 14, 2013 and two increments of 31,328 shares each on November 14, 2014 and November 14, 2015. |