-----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, WqLJ/RjD7ZI32kP1lfaHWyiOpq7PpLBnTbZGMRqL3t28PYPwJMGssgxnQhRwkHCs cyoloYe/GwRBKL9u4vrKJg== 0001127602-11-005435.txt : 20110214 0001127602-11-005435.hdr.sgml : 20110214 20110214192028 ACCESSION NUMBER: 0001127602-11-005435 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110210 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHULTZ HOWARD D CENTRAL INDEX KEY: 0000901737 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20322 FILM NUMBER: 11610991 MAIL ADDRESS: STREET 1: 2401 UTAH AVE SOUTH CITY: SEATTLE STATE: WA ZIP: 98134 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STARBUCKS CORP CENTRAL INDEX KEY: 0000829224 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] IRS NUMBER: 911325671 STATE OF INCORPORATION: WA FISCAL YEAR END: 0928 BUSINESS ADDRESS: STREET 1: P O BOX 34067 CITY: SEATTLE STATE: WA ZIP: 98124-1067 BUSINESS PHONE: 2064471575 MAIL ADDRESS: STREET 1: 2401 UTAH AVENUE SOUTH CITY: SEATTLE STATE: WA ZIP: 98134 4 1 form4.xml PRIMARY DOCUMENT X0303 4 2011-02-10 0000829224 STARBUCKS CORP SBUX 0000901737 SCHULTZ HOWARD D 2401 UTAH AVENUE SOUTH, SUITE 800 SEATTLE WA 98134 1 1 chairman, president and ceo Common Stock 2010-12-08 5 G 0 E 200000 0 D 14395977 D Common Stock 2010-12-08 5 G 0 E 1800 0 D 14394177 D Common Stock 2011-02-10 4 M 0 1167000 7.40 A 15561177 D Common Stock 2011-02-10 4 S 0 1167000 33.1583 D 14394177 D Common Stock 2011-02-11 4 M 0 263000 7.40 A 14657177 D Common Stock 2011-02-11 4 S 0 263000 33.2777 D 14394177 D Common Stock 2011-02-11 5 G 0 E 814000 0 D 1686000 I by spouse Common Stock 2011-02-11 5 G 0 E 814000 0 A 16022177 D Common Stock 1686000 I by GRAT Non-qualified Stock Option (Right to Buy) 7.40 2011-02-10 4 M 0 1167000 0 D 2011-10-01 Common Stock 1167000 263000 D Non-qualified Stock Option (Right to Buy) 7.40 2011-02-11 4 M 0 263000 0 D 2011-10-01 Common Stock 263000 0 D This transaction was executed in multiple trades at prices ranging from $33.12 to $33.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. This transaction was executed in multiple trades at prices ranging from $33.20 to $33.30. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. On Feb. 11, 2011, a grantor retained annuity trust (GRAT) that was previously established by the reporting person's spouse made an annuity payment of 814,000 shares to a joint account of the reporting person and his spouse. This annuity payment is being reported as a gift. The reporting person is the sole trustee of such GRAT and the shares owned by the GRAT have previously been shown as indirectly owned by the reporting person. In addition to the 814,000 shares described above that are being reported as a gift, the total number of shares shown as directly owned also includes 814,000 shares that were transferred to the joint account on Feb. 11, 2011, as an annuity payment from a separate GRAT previously established by the reporting person for which he is the sole trustee. The shares owned by such GRAT were previously shown as indirectly owned and the annuity payment from such GRAT is a change in the form of beneficial ownership that is exempt from Section 16 pursuant to Rule 16a-13. The options became exercisable in two increments of 476,667 shares each on October 1, 2002 and October 1, 2003 and one increment of 476,666 shares on October 1, 2004. /s/ Sarah E. Mock, attorney-in-fact for Howard Schultz 2011-02-14 -----END PRIVACY-ENHANCED MESSAGE-----