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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 (1) (2) | (3) | (3) | (3) | Class A Common Stock | 263,752,817 | 263,752,817 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JAB Holdings B.V. OUDEWEG 147 HAARLEM THE NETHERLANDS 2031 CC |
X | |||
Parentes Holding SE ROOSEVELTPLATZ 4-5 / TOP 10 VIENNA AUSTRIA A-1090 |
X | |||
Donata Holding SE ROOSEVELTPLATZ 4-5 / TOP 10 VIENNA AUSTRIA A-1090 |
X |
/s/ Joachim Creus, Attorney-in-Fact | 01/21/2014 | |
**Signature of Reporting Person | Date | |
Constantin Thun-Hohenstein | 01/21/2014 | |
**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) | This Statement is being filed by JAB Holdings B.V. ("JAB"), Parentes Holding SE ("Parentes") and Donata Holding SE ("Donata" and, together with JAB and Parentes, the "Reporting Persons"). JAB is an indirect subsidiary of Parentes and Donata. Other intervening subsidiaries are Donata Holdings B.V. ("Donata Holdings"), JAB Holding Company S.a.r.l. ("JAB Holding Company", previously Joh. A. Benckiser S.a.r.l.) and JAB Investments s.a r.l. Donata and Parentes 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. |
(2) | On January 20, 2014, Donata Holdings contributed all its shares in JAB Holdings II, B.V. ("JAB II") to JAB in exchange for newly-issued shares of JAB Holding Company. After the contribution, JAB II was merged into JAB. JAB II ceased to exist on January 20, 2014 at midnight, as a result of the merger. |
(3) | Class B Common Stock is convertible to Class A common stock at any time on a one-for-one basis and has no expiration date. |