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COTY INC. — Director's Dealing 2014
Jun 11, 2014
6520_dirs_2014-06-11_f71aee2f-d2d7-4084-8428-380766df090b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: COTY INC. (COTY)
CIK: 0001024305
Period of Report: 2014-06-09
Reporting Person: Shiah James E. (SVP, Chief Acct. & Compl. Off.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-06-09 | Class A common stock | M | 47000 | $10.20 | Acquired | 81813 | Direct |
| 2014-06-09 | Class A common stock | M | 49213 | $6.40 | Acquired | 131026 | Direct |
| 2014-06-09 | Class A common stock | S | 96213 | $17.8079 | Disposed | 34813 | Direct |
| 2014-06-10 | Class A common stock | M | 50787 | $6.40 | Acquired | 85600 | Direct |
| 2014-06-10 | Class A common stock | M | 10000 | $6.40 | Acquired | 95600 | Direct |
| 2014-06-10 | Class A common stock | S | 95600 | $17.4503 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-06-09 | Stock Option (right to buy) | $10.2 | M | 47000 | Disposed | 2017-09-10 | Class A common stock (47000.0) | Direct |
| 2014-06-09 | Stock Option (right to buy) | $6.4 | M | 49213 | Disposed | 2019-01-07 | Class A common stock (49213.0) | Direct |
| 2014-06-10 | Stock Option (right to buy) | $6.4 | M | 50787 | Disposed | 2019-01-07 | Class A common stock (50787.0) | Direct |
| 2014-06-10 | Stock Option (right to buy) | $6.4 | M | 10000 | Disposed | 2019-03-09 | Class A common stock (10000.0) | Direct |
| 2014-06-10 | Stock Option (right to buy) | $9.2 | D | 15000 | Disposed | 2020-12-03 | Class A common stock (15000.0) | Direct |
| 2014-06-10 | Stock Option (right to buy) | $10.5 | D | 13000 | Disposed | 2022-01-10 | Class A common stock (13000.0) | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.63 to $18.22, inclusive. The reporting person undertakes to provide to Coty Inc., any security holder of Coty Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. A portion of the shares sold were for the payment of the exercise price of the Stock Options and related withholding taxes.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.29 to $17.88, inclusive. The reporting person undertakes to provide to Coty Inc., any security holder of Coty Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. A portion of the shares sold were for the payment of the exercise price of the Stock Options and related withholding taxes.
F3: The transactions represent forfeiture of matching stock options ("Matching Equity") issued under the Company's executive ownership programs in connection with the purchase of shares of Common Stock by the reporting person. Matching Equity is forfeited if the reporting person sells shares to which the Matching Equity relates prior to the 5th anniversary of purchase.