SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/01/2018 | 3. Issuer Name and Ticker or Trading Symbol Wendy's Co [ WEN ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4,361 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy)(1) | (2) | 08/11/2024 | Common Stock | 34,097 | 8.2225 | D | |
Employee Stock Option (right to buy)(1) | (3) | 08/07/2025 | Common Stock | 36,932 | 9.8575 | D | |
Employee Stock Option (right to buy)(1) | (4) | 08/12/2026 | Common Stock | 31,890 | 10.0875 | D | |
Employee Stock Option (right to buy)(1) | (5) | 08/11/2027 | Common Stock | 24,004 | 15.355 | D | |
Restricted Stock Units(6) | (7) | (7) | Common Stock | 27,657 | 0.0000(8) | D |
Explanation of Responses: |
1. With tandem net exercise and tax withholding rights. |
2. The option is currently exercisable as to all 34,097 shares. |
3. The option became exercisable as to 12,310 shares on August 7, 2016 and 12,311 shares on August 7, 2017 and becomes exercisable as to 12,311 shares on August 7, 2018. |
4. The option became exercisable as to 10,630 shares on August 12, 2017 and becomes exercisable as to 10,630 shares on each of August 12, 2018 and August 12, 2019. |
5. The option becomes exercisable as to 8,001 shares on each of August 11, 2018 and August 11, 2019 and becomes exercisable as to 8,002 shares on August 11, 2020. |
6. With tandem dividend equivalent rights and tax withholding rights. |
7. Of the restricted stock units, 5,987 (307 of which represent dividend equivalent units) will vest on August 7, 2018; 6,888 (197 of which represent dividend equivalent units) will vest on August 12, 2019; and 14,782 (130 of which represent dividend equivalent units) will vest on August 11, 2020. In each case, the stated number of restricted stock units will vest in full on the applicable vesting date, subject to Mr. O'Brien's continued employment with the Company on the applicable vesting date. |
8. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. |
Remarks: |
Power of attorney is included with this filing as Exhibit 24. |
Dana Klein, Attorney-In-Fact | 03/09/2018 | |
** 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 5 (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. |