0001127602-18-021979.txt : 20180628 0001127602-18-021979.hdr.sgml : 20180628 20180628183747 ACCESSION NUMBER: 0001127602-18-021979 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180626 FILED AS OF DATE: 20180628 DATE AS OF CHANGE: 20180628 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: 18926691 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: 0927 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 X0306 4 2018-06-26 0000829224 STARBUCKS CORP SBUX 0000901737 SCHULTZ HOWARD D 2401 UTAH AVENUE SOUTH, SUITE 800 SEATTLE WA 98134 1 chairman emeritus Common Stock 2017-11-30 5 G 0 E 830000 0 D 1170000 I by spouse Common Stock 2017-11-30 5 G 0 E 830000 0 A 31458282 D Common Stock 2017-11-30 5 G 0 E 575000 0 D 30883282 D Common Stock 2017-12-08 5 G 0 E 1060000 0 D 0 I by spouse Common Stock 2017-12-08 5 G 0 E 1060000 0 A 33003282 D Common Stock 2018-06-26 4 A 0 20735 0 A 33024017 D Common Stock 2018-06-26 4 F 0 21749 50.38 D 33002268 D Common Stock 1170000 I by GRAT Common Stock 525181 I by Family Owned LLC Includes 830,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on November 30, 2017 as an annuity payment that was exempt from Section 16 pursuant to Rule 16a-13. Includes 1,060,000 shares that were previously shown as indirectly owned through a grantor retained annuity trust (GRAT) for which the reporting person serves as the sole trustee. The shares were transferred to the reporting person on December 7, 2017 as an annuity payment in termination of the GRAT that was exempt from Section 16 pursuant to Rule 16a-13. Pursuant to the terms of a Retirement Agreement between the issuer and the reporting person, dated June 1, 2018, effective on June 26, 2018, (1) 31,566 shares subject to the performance-based Restricted Stock Unit ("RSU") granted on November 15, 2017 were deemed earned and vested and (2) 30,945 shares previously reported as part of the 83,553 shares earned pursuant to the performance-based RSU granted on November 16, 2015 (the "November 2015 Grant"), of which 41,777 shares vested on November 16, 2017 and 41,776 were scheduled to vest on November 16, 2018, became vested. The number shown includes the forfeiture of the remaining 10,831 shares subject to the November 2015 Grant. Shares withheld by the issuer to satisfy tax withholding obligations upon vesting of RSUs; not an open market transaction. /s/ Alejandro C. Torres, attorney-in-fact for Howard Schultz 2018-06-28