FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/01/2007 |
3. Issuer Name and Ticker or Trading Symbol
TRIARC COMPANIES INC [ TRY;TRY.B ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class B Common Stock, Series 1 | 566,106(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy)(2) | (3) | 07/25/2015 | Class B Common Stock, Series 1 | 334,331 | $7.1164 | D | |
Employee Stock Option (right to buy)(2) | (4) | 04/28/2016 | Class B Common Stock, Series 1 | 10,000 | $16.22 | D | |
Employee Stock Option (right to buy)(2) | (5) | 05/23/2017 | Class B Common Stock, Series 1 | 50,000 | $15.84 | D | |
Employee Stock Option (right to buy)(2) | (3) | 07/25/2015 | Class B Common Stock, Series 1 | 203,328 | $4.0397 | D |
Explanation of Responses: |
1. In connection with the acquisition of RTM Restaurant Group, Inc. (RTM) and certain affiliated entites (the RTM Acquisition) by Triarc Companies, Inc. (Triarc), the reporting person received as consideration 551,106 shares of Triarc's Class B Common Stock, Series 1. Of the 551,106 shares issued to the reporting person in the acquisition, 29,508 shares are being held in escrow to secure the reporting person's indemnification obligations under the definitive agreements related to the RTM Acquisition. |
2. With tandem net exercise and tax withholding rights. |
3. The options were fully vested as of October 19, 2006. |
4. The option vests in three equal installments. One-third of the options vested on April 28, 2007. One-third of the options will vest on each of April 28, 2008 and 2009. |
5. The option vests in three equal installments on May 23, 2008, 2009 and 2010. |
Remarks: |
/s/ Garrett, Thomas A. | 09/10/2007 | |
** 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 5 (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. |