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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 | ||||||||
Class B Common Stock, par value $0.01 per share | (1) | 09/30/2016 | C | 262,062,370 | (1) | (1) | Class A Common Stock, par value $0.01 per share | 262,062,370 | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JAB Cosmetics B.V. OUDEWEG 147 HAARLEM, P7 2031 CC |
X | |||
Agnaten SE ROOSEVELTPLATZ 4-5 TOP 10 VIENNA, C4 A-1090 |
X | |||
Lucresca SE ROOSEVELTPLATZ 4-5 TOP 10 VIENNA, C4 A-1090 |
X | |||
JAB Holdings B.V. OUDEWEG 147 HAARLEM, P7 2031 CC |
X |
/s/ Joachim Creus and /s/ Markus Hopmann as Managing Directors | 10/04/2016 | |
**Signature of Reporting Person | Date | |
/s/ Joachim Creus and /s/ Markus Hopmann as Authorized Representatives | 10/04/2016 | |
**Signature of Reporting Person | Date | |
/s/ Constantin Thun-Hohenstein and /s/ Dietmar Guetter as Authorized Representatives | 10/04/2016 | |
**Signature of Reporting Person | Date | |
/s/ Joachim Creus and /s/ Markus Hopmann as Managing Directors | 10/04/2016 | |
**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) | Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis. Such share conversion is exempt from registration under the Securities Act of 1933, as amended, by reason of the exemption provided in Section 3(a)(9) thereunder. |
(2) | This Statement is being filed by JAB Cosmetics B.V. ("JAB Cosmetics"), JAB Holdings B.V. ("JAB Holdings"), Agnaten SE ("Agnaten") and Lucresca SE ("Lucresca" and, together with JAB Cosmetics, JAB Holdings and Agnaten, the "Reporting Persons"). JAB Cosmetics is an indirect subsidiary of each of Agnaten and Lucresca. JAB Holdings is an indirect subsidiary of each of Agnaten and Lucresca and a direct stockholder of JAB Cosmetics. Other intervening subsidiaries are Donata Holdings B.V., JAB Holding Company s.a r.l., and JAB Investments s.a r.l. JAB, Agnaten and Lucresca are indirect beneficial owners of the reported securities, and each disclaims a pecuniary interest in the reported securities except to the extent of its interest therein. |