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 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/08/2023 |
3. Issuer Name and Ticker or Trading Symbol
Walt Disney Co [ DIS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
Disney Common Stock | 718.08(1) | I | By 401(k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
Stock Option (Right-to-Buy) | (2) | 12/19/2028 | Disney Common Stock | 1,742 | 110.5381 | D | |
Stock Option (Right-to-Buy) | (3) | 12/17/2029 | Disney Common Stock | 6,602 | 148.04 | D | |
Restricted Stock Unit | (4) | (4) | Disney Common Stock | 608 | (5) | D | |
Stock Option (Right-to-Buy) | (6) | 12/17/2030 | Disney Common Stock | 2,155 | 173.4 | D | |
Restricted Stock Unit | (7) | (7) | Disney Common Stock | 538 | (5) | D | |
Stock Option (Right-to-Buy) | (8) | 03/08/2031 | Disney Common Stock | 1,732 | 198.405 | D | |
Restricted Stock Unit | (9) | (9) | Disney Common Stock | 471 | (5) | D | |
Stock Option (Right-to-Buy) | (10) | 06/22/2031 | Disney Common Stock | 2,291 | 173.525 | D | |
Restricted Stock Unit | (11) | (11) | Disney Common Stock | 1,076 | (5) | D | |
Restricted Stock Unit | (12) | (12) | Disney Common Stock | 5,332 | (5) | D | |
Restricted Stock Unit | (13) | (13) | Disney Common Stock | 5,288 | (5) | D | |
Restricted Stock Unit | (14) | (14) | Disney Common Stock | 4,912 | (5) | D | |
Restricted Stock Unit | (15) | (15) | Disney Common Stock | 1,638 | (5) | D |
Explanation of Responses: |
1. Shares held in The Walt Disney Stock Fund as of April 8, 2023. The Fund is one investment option in the 401(k) Plan and contains Company matching contributions. |
2. Option was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The option is fully vested. |
3. Option was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The option has vested as to 4,951 shares. The unvested portion of the option vests in a single installment of 1,651 shares on December 17, 2023. |
4. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The unvested portion of the award is scheduled to vest as to its remaining 608 stock units on December 17, 2023. |
5. Restricted stock units convert into common stock at 1-for-1. |
6. Option was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The option has vested as to 1,437 shares. The unvested portion of the option vests in a single installment of 718 shares on December 17, 2023. |
7. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The unvested portion of the award is scheduled to vest as to its remaining 538 stock units on December 17, 2023. |
8. Option was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The option has vested as to 1,155 shares. The unvested portion of the option vests in a single installment of 577 shares on March 8, 2024. |
9. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The unvested portion of the award is scheduled to vest as to its remaining 471 stock units on March 8, 2024. |
10. Option was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The option has vested as to 764 shares. The unvested portion of the option vests as to 763 shares on June 22, 2023, and as to 764 shares on June 22, 2024. |
11. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The unvested portion of the award is scheduled to vest as to 538 stock units on each June 22 of 2023 and 2024. |
12. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The unvested portion of the award is scheduled to vest as to 1,333 stock units on each June 14 of 2023 and 2024, and as to 1,333 stock units on each December 14 of 2023 and 2024. |
13. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest on March 8, 2024. |
14. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 818 stock units on June 15, 2023, as to 818 stock units on December 15, 2024, as to 819 stock units on each December 15 of 2023 and 2025, and as to 819 stock units on each June 15 of 2024 and 2025. |
15. This restricted stock unit award was granted under the Company's Amended and Restated 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 273 stock units on each June 15 of 2023, 2024, and 2025, and as to 273 stock units on each December 15 of 2023, 2024, and 2025. |
Remarks: |
/s/ Jolene E. Negre as attorney-in fact | 04/11/2023 | |
** 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. |