Statement of Changes in Beneficial Ownership (4)
March 31 2021 - 3:27PM
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
*
Gonzalez Rachel A |
2. Issuer Name and Ticker or Trading Symbol
STARBUCKS CORP
[
SBUX
]
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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, general counsel |
(Last)
(First)
(Middle)
2401 UTAH AVENUE SOUTH, SUITE 800 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/3/2021 |
(Street)
SEATTLE, WA 98134
(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 | 2/3/2021 | | G |
V
| 1000 | D | $0 | 78904.893 | D | |
Common Stock | 3/29/2021 | | M | | 82894 (1) | A | $56.64 | 162040.056 (2) | D | |
Common Stock | 3/29/2021 | | S | | 82894 (1) | D | $109.505 (3) | 79146.056 | D | |
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 |
Non-qualified Stock Option (Right to Buy) | $56.64 | 3/29/2021 | | M | | | 82894 (1) | (4) | 5/15/2028 | Common Stock | 82894 | $0 | 82894 | D | |
Explanation of Responses: |
(1) | The option exercise and sale reported on this Form 4 were effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on February 16, 2021. |
(2) | Includes 520.002 accrued dividend equivalents on unvested restricted stock units. |
(3) | This transaction was executed in multiple trades at prices ranging from $109.01 to $110. 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. |
(4) | The option, representing the right to buy a total of 165,788 shares, became exercisable in two equal increments of 41,447 each on May 15, 2019 and May 15, 2020 and becomes exercisable in two equal increments of 41,447 each on May 15, 2021 and May 15, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gonzalez Rachel A 2401 UTAH AVENUE SOUTH SUITE 800 SEATTLE, WA 98134 |
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| evp, general counsel |
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Signatures
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/s/ Jenn X. Hu, attorney-in-fact for Rachel A. Gonzalez | | 3/31/2021 |
**Signature of Reporting Person | Date |
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