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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 11/02/2020 | 3. Issuer Name and Ticker or Trading Symbol STARBUCKS CORP [ SBUX ] | |||||||||||||
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)
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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) |
Common Stock | 13,078.46(1) | D |
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 | ||||
Non-qualified Stock Option (Right to Buy) | (2) | 11/16/2025 | Common Stock | 1,214 | 60.68 | D | |
Non-qualified Stock Option (Right to Buy) | (3) | 09/15/2026 | Common Stock | 5,694 | 54.11 | D | |
Non-qualified Stock Option (Right to Buy) | (4) | 11/21/2026 | Common Stock | 4,690 | 56.1 | D |
Explanation of Responses: |
1. Includes 8,244.736 Restricted Stock Units that vest on various dates subject to continued employment. |
2. The option, representing the right to buy at total of 4,859 shares, became exercisable in three increments of 1,215 shares each on November 16, 2016, November 16, 2017 and November 16, 2018 and one increment of 1,214 shares on November 16, 2019. |
3. The option, representing the right to buy a total of 11,388 shares, became exercisable in four increments of 2,847 shares each on September 15, 2017, September 15, 2018, September 15, 2019 and September 15, 2020. |
4. The option, representing the right to buy a total of 9,382 shares, became exercisable two increments of 2,346 shares each on November 21, 2017 and November 21, 2018, one increment of 2,345 on November 21, 2019 and becomes exercisable in one increment of 2,345 shares on November 21, 2020. |
Remarks: |
Exhibit 24: Power of Attorney attached to this filing. |
/s/ Jenn X. Hu, attorney-in-fact for Angela Lis | 11/09/2020 | |
** 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. |