FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Dr Pepper Snapple Group, Inc. [ DPS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/07/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/07/2008 | J(1) | 2,132 | A | (1) | 2,132 | D | |||
Employee Share Award | 05/07/2008 | A(2) | 14,243 | A | $0.00 | 14,243 | D | |||
Employee Share Award | 05/07/2008 | A(3) | 9,323 | A | $0.00 | 9,323 | D | |||
Employee Share Award | 05/07/2008 | A(4) | 14,070 | A | $0.00 | 14,070 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (5) | 05/07/2008 | A | 14,787 | (6) | (6) | Common Stock | 14,787 | $0.00 | 14,787 | D | ||||
Employee Stock Option (Right to Buy) | $25.36 | 05/07/2008 | A | 48,107 | (7) | 05/07/2018 | Common Stock | 48,107 | $0.00 | 48,107 | D |
Explanation of Responses: |
1. Shares were acquired as the result of the spin off of the Americas Beverages business by Cadbury Schweppes plc, as described in the Issuer's Form 10 filed with the SEC (the "Spin Off"). These shares were distributed to reporting person in connection with the Spin Off and arising from their holdings of Cadbury Schweppes plc ADR's or shares on the date of the Spin Off. |
2. This share award was granted in connection with the Spin Off. The share award was converted from the Bonus Share Retention Plan of Cadbury Schweppes plc and granted under the Issuer's Legacy Bonus Share Retention Plan. The share award represents the right to receive the Issuer's Common Stock and 6,727 shares will be settled on March 4, 2009 and 7,516 will be settled on March 4, 2010. The number of shares issued pursuant to the Spin Off, is subject to the approval of a Cadbury administrative committee and if not approved, or approved with modifications, an amended Form 4 will be filed. |
3. This share award was granted in connection with the Spin Off. The share award was converted from the Long Term Incentive Plan of Cadbury Schweppes plc and granted under the Issuer's Legacy Long Term Incentive Plan. The share award represents the right to receive the Issuer's Common Stock and 4,962 shares will be settled on April 7, 2009 and 4,361 shares will be settled on March 29, 2010. The number of shares issued pursuant to the Spin Off, is subject to the approval of a Cadbury administrative committee and if not approved, or approved with modifications, an amended Form 4 will be filed. |
4. This share award was granted in connection with the Spin Off. The share award was converted from the International Share Award Plan of Cadbury Schweppes plc and granted under the Issuer's Legacy International Share Award Plan. The share award represents the right to receive the Issuer's Common Stock and 8,794 shares will be settled on August 29, 2009 and 5,276 shares will be settled on February 16, 2009. The number of shares issued pursuant to the Spin Off, is subject to the approval of a Cadbury administrative committee and if not approved, or approved with modifications, an amended Form 4 will be filed. |
5. 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 2008. |
6. Restricted stock units will 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. |
7. This option was granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2008 and vests in three equal annual installments commencing on May 7, 2009. |
Remarks: |
Wayne R. Lewis, attorney in fact | 05/09/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |