-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B8bAcgsnib5amQ7/pinhYfTGV3ud8KVlL192C50wDjT/UI2bHk5xDOF1Dj1zpjR0 j8NX3UbVpk0wrXRjCdkpVQ== 0000030697-02-000006.txt : 20020414 0000030697-02-000006.hdr.sgml : 20020414 ACCESSION NUMBER: 0000030697-02-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020131 FILED AS OF DATE: 20020211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRIARC COMPANIES INC CENTRAL INDEX KEY: 0000030697 STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794] IRS NUMBER: 380471180 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-02207 FILM NUMBER: 02532854 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-451-3000 MAIL ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: DWG CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DWG CIGAR CORP DATE OF NAME CHANGE: 19680820 FORMER COMPANY: FORMER CONFORMED NAME: DEISEL WEMMER GILBERT CORP DATE OF NAME CHANGE: 19680820 COMPANY DATA: COMPANY CONFORMED NAME: TSAI GERALD JR CENTRAL INDEX KEY: 0001014053 DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O TSAI MANAGEMENT CO STREET 2: 200 PARK AVE SUITE 4501 CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2124513000 MAIL ADDRESS: STREET 1: C/O TSAI MANAGEMENT CO STREET 2: 200 PARK AVE #4501 CITY: NEW YORK STATE: NY ZIP: 10166 4 1 edgar.txt FORM 4 - JANUARY 31, 2002 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Tsai, Jr., Gerald Tsai Management, Inc. 200 Park Avenue Suite 4501 New York,, NY 10166 USA 2. Issuer Name and Ticker or Trading Symbol Triarc Companies, Inc. TRY 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 31, 2002 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Class A Common Stock |1/28/0|M | |15,000 |(A)|$19.375 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |1,000 |(D)|$26.25 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |900 |(D)|$26.26 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |12,700 |(D)|$26.27 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |400 |(D)|$26.29 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|M | |3,000 |(A)|$16.25 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |700 |(D)|$26.29 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |1,200 |(D)|$26.30 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |1,000 |(D)|$26.31 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |100 |(D)|$26.32 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|M | |3,000 |(A)|$12.625 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |200 |(D)|$26.32 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |2,800 |(D)|$26.33 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|M | |3,000 |(A)|$22.25 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |1,.400 |(D)|$26.33 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |500 |(D)|$26.35 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |500 |(D)|$26.37 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |600 |(D)|$26.39 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|M | |3,000 |(A)|$21.5625 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |500 |(D)|$26.39 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |600 |(D)|$26.42 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |700 |(D)|$26.50 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |300 |(D)|$26.53 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |100 |(D)|$26.55 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |200 |(D)|$26.56 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |600 |(D)|$26.60 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|M | |2,000 |(A)|$19.75 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |1,400 |(D)|$26.60 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |200 |(D)|$26.63 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |200 |(D)|$26.64 | | | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |1/28/0|S | |200 |(D)|$26.65 |3,422 |(D) | | |2 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Stock Option (right to|$19.375 |1/28/|M | |15,000 |D |(1) |6/9/0|Class A Comm|15,000 | |0 | | | buy) with tandem tax | |02 | | | | | |4 |on Stock | | | | | | withholding rights | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (right to|$16.25 |1/28/|M | |3,000 |D |(2) |6/8/0|Class A Comm|3,000 | |0 | | | buy) with tandem tax | |02 | | | | | |5 |on Stock | | | | | | withholding rights | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (right to|$12.6250|1/28/|M | |3,000 |D |(3) |6/6/0|Class A Comm|3,000 | |0 | | | buy) with tandem tax | |02 | | | | | |6 |on Stock | | | | | | withholding rights | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (right to|$22.25 |1/28/|M | |3,000 |D |(4) |6/4/0|Class A Comm|3,000 | |0 | | | buy) with tandem tax | |02 | | | | | |7 |on Stock | | | | | | withholding rights | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (right to|$21.5625|1/28/|M | |3,000 |D |(5) |9/23/|Class A Comm|3,000 | |0 | | | buy) with tandem tax | |02 | | | | | |09 |on Stock | | | | | | withholding rights | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (right to|$19.75 |1/28/|M | |2,000 |D |(6) |6/22/|Class A Comm|2,000 | |2,000 |(D)| | buy) with tandem tax | |02 | | | | | |10 |on Stock | | | | | | withholding rights | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) The option vested in two equal installments on 6/9/95 and 6/9/96. (2) The option vested in two equal installments on 6/8/96 and 6/8/97. (3) The option vested in two equal installments on 6/6/97 and 6/6/98. (4) The option vested in two equal installments on 6/4/98 and 6/4/99. (5) The option vested in two equal installments on 9/23/00 and 9/23/01. (6) The option representing one-half of the total amount granted vested on 6/22/01. The balance of the option [to purchase 2,000 shares] vests on 6/22/02. SIGNATURE OF REPORTING PERSON GERALD TSAI, JR. DATE February 11, 2002 -----END PRIVACY-ENHANCED MESSAGE-----