SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Keurig Dr Pepper Inc. [ KDP ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 05/15/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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, par value $0.01 per share | 05/15/2019 | S | 7,048,000(1) | D | $28.15 | 998,875,440 | D(2) | |||
Common Stock, par value $0.01 per share | 05/15/2019 | S | 30,803,579(1) | D | $27.5 | 968,071,861 | D(2) | |||
Common Stock, par value $0.01 per share | 05/16/2019 | S | 3,539,824(1) | D | $28.25 | 964,532,037 | D(2) | |||
Common Stock, par value $0.01 per share | 05/16/2019 | S | 5,084,300(1) | D | $28.25 | 959,447,737 | D(2) | |||
Common Stock, par value $0.01 per share | 05/16/2019 | S | 531,000(3) | D | $28.25 | 958,916,737 | D(2) | |||
Common Stock, par value $0.01 per share | 05/17/2019 | S | 5,895,597(4) | D | $28 | 953,021,140 | D(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. On May 16, 2019, Maple Holdings B.V. disclosed that it agreed to sell an aggregate of 46,475,703 shares of common stock, par value $0.01 per share, of Keurig Dr Pepper Inc. (the "Shares") through registered direct sales with third parties. |
2. The Shares described in this report are held by Maple Holdings B.V., a direct or indirect subsidiary of each other Reporting Person herein. As such, each other Reporting Person herein may be deemed to beneficially own such Shares held by Maple Holdings B.V. Each of the Reporting Persons disclaims any beneficial ownership of such Shares, except to the extent of its pecuniary interests therein. |
3. On May 16, 2019, Maple Holdings B.V. agreed to sell 531,000 Shares through a registered direct sale with a third party. |
4. On May 17, 2019, Maple Holdings B.V. agreed to sell 5,895,597 Shares through a registered direct sale with a third party. |
/s/ Merel Broers, Director of Maple Holdings B.V.; /s/ Leo Burgers, Director of Maple Holdings B.V. | 05/17/2019 | |
/s/ Joachim Creus, Proxy Holder of Acorn Holdings B.V. | 05/17/2019 | |
/s/ Merel Broers, Director of JAB Forest B.V.; /s/ Constantin Thun, Director of JAB Forest B.V. | 05/17/2019 | |
/s/ Merel Broers, Director of JAB Holdings B.V.; /s/ Constantin Thun, Director of JAB Holdings B.V. | 05/17/2019 | |
/s/ Markus Hopmann, Manager of JAB Investments s.a r.l.; /s/ Joachim Creus, Manager of JAB Investments s.a r.l. | 05/17/2019 | |
/s/ Markus Hopmann, Manager of JAB Holding Company s.a r.l.; /s/ Joachim Creus, Manager of JAB Holding Company s.a r.l. | 05/17/2019 | |
/s/ Merel Broers, Director of Donata Holdings B.V.; /s/ Constantin Thun, Director of Donata Holdings B.V. | 05/17/2019 | |
/s/ Joachim Creus, Authorized Representative of Lucresca SE | 05/17/2019 | |
/s/ Joachim Creus, Authorized Representative of Agnaten SE | 05/17/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |