0001127602-11-029298.txt : 20111110 0001127602-11-029298.hdr.sgml : 20111110 20111110212727 ACCESSION NUMBER: 0001127602-11-029298 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111108 FILED AS OF DATE: 20111110 DATE AS OF CHANGE: 20111110 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: 111197077 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 X0304 4 2011-11-08 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 2011-03-18 5 G 0 E 945300 0 D 740700 I by spouse Common Stock 2011-03-18 5 G 0 E 945300 0 A 17912777 D Common Stock 2011-11-08 4 A 0 289426 0 A 17907203 D Common Stock 740700 I by GRAT Common Stock 295000 I Family Owned LLC On March 18, 2011, a grantor retained annuity trust ("GRAT") that was previously established by the reporting person's spouse made an annuity payment of 945,300 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 945,300 shares described above that are being reported as a gift, the total number of shares shown as directly owned also includes 945,300 shares that were transferred to the joint account on March 18, 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. Restricted Stock Units ("RSUs") earned on the achievement of performance goals under performance-based restricted stock units granted on November 15, 2010. The RSUs will vest as follows: 144,713 RSUs vest on November 15, 2012 and 144,713 RSUs vest on November 15, 2013. On March 25, 2011, the reporting person transferred 295,000 shares from a joint account of the reporting person and his spouse into a family owned LLC. The shares owned by the LLC were previously shown as directly owned by the reporting person and the transfer is a change in the form of beneficial ownership that is exempt from Section 16 pursuant to Rule 16a-13. /s/ Alejandro C. Torres, attorney-in-fact for Howard Schultz 2011-11-10