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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 6.4 | 06/05/2014 | M | 57,900 | 01/07/2014 | 01/07/2019 | Class A common stock | 57,900 | $ 6.4 | 17,100 | D | ||||
Stock Option (right to buy) | $ 6.4 | 06/05/2014 | M | 17,100 | 01/07/2014 | 01/07/2019 | Class A common stock | 17,100 | $ 6.4 | 0 | D | ||||
Stock Option (right to buy) (3) | $ 9.2 | 06/05/2014 | J | 20,000 | 12/03/2015 | 12/03/2020 | Class A common stock | 20,000 | $ 9.2 | 0 | D | ||||
Stock Option (right to buy) (3) | $ 10.5 | 06/05/2014 | J | 20,000 | 01/10/2017 | 01/10/2022 | Class A common stock | 20,000 | $ 10.5 | 0 | D | ||||
Restricted Stock Units (3) | (4) | 06/05/2014 | J | 478 | (4) | (4) | Class A common stock | 478 | $ 0 | 75,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Macchio Ralph COTY INC. 350 FIFTH AVENUE NEW YORK, NY 10118 |
SVP of Global R&D, CSO |
/s/ Michelle Garcia, Attorney-in-Fact | 06/09/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.66 to $16.94, 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. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.11 to $17.84, 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. |
(3) | The transactions represent forfeiture of matching stock options and matching Restricted Stock Units ("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. |
(4) | Upon vesting, each Restricted Stock Unit settles for one share of Class A common stock of Coty Inc. |