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Keurig Dr Pepper Inc. — Director's Dealing 2017
Jun 30, 2017
30106_dirs_2017-06-30_ba78f01e-3bec-482f-9e1c-1bb5b34041ec.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Dr Pepper Snapple Group, Inc. (DPS)
CIK: 0001418135
Period of Report: 2017-06-26
Reporting Person: Alt Jaxie S Inc. (Executive Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3283 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (909) | Direct | ||
| Restricted Stock Units | $ | Common Stock (826) | Direct | ||
| Restricted Stock Units | $ | Common Stock (887) | Direct | ||
| Performance Stock Units | $ | Common Stock (678) | Direct | ||
| Employee Stock Option (Right to Buy) | $51.68 | 2024-03-03 | Common Stock (1954) | Direct | |
| Employee Stock Option (Right to Buy) | $79.20 | 2025-03-02 | Common Stock (2602) | Direct | |
| Employee Stock Option (Right to Buy) | $91.98 | 2026-03-02 | Common Stock (3828) | Direct | |
| Employee Stock Option (Right to Buy) | $94.62 | 2028-03-02 | Common Stock (4221) | Direct |
Footnotes
F1: These shares represent restricted stock units granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.
F2: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.
F3: These shares represent the unvested portion of restricted stock units granted on March 2, 2016 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in two equal installments on March 2, 2018 and March 2, 2019 and will be settled in shares of the Issuer's Common Stock on the vesting date.
F4: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal installments on March 4, 2018, March 4, 2019 and March 4, 2020, and will be settled in shares of the Issuer's Common Stock on the vesting date.
F5: These performance stock units ("PSU") were granted on September 1, 2015. The performance period has ended and the amount indicated reflects the number of PSU's earned during the performance period. The shares will vest on September 1, 2018.
F6: This represents the unvested and unexercised options granted on March 3, 2014 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009. All of these options are fully vested.
F7: This option represents the unvested and unexercised options granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009. 1,301 of these options are fully vested and the remaining 1,301 options will vest on March 2, 2018
F8: This option represents the unvested and uexercised options granted on March 2, 2016 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009. 1,276 of these options are fully vested and the remaining 2,552 shares vest in equal installments on March 2, 2018 and March 2, 2019.
F9: This option represents the unvested and unexercised options granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vests in three equal annual installments commencing on March 4, 2018, March 4, 2019 and March 4, 2020.