FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GREEN MOUNTAIN COFFEE ROASTERS INC [ GMCR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/04/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
GMCR Common Stock | 01/04/2013 | J(1) | V | 60,000 | D | $0(1) | 8,316,306 | D | ||
GMCR Common Stock | 01/04/2013 | J(1) | V | 60,000 | A | $0(1) | 60,000 | I | Owned by 253 Via V PB LLC(2) | |
Restricted Stock Units | 03/08/2013 | A | 851 | A | $0(3) | 8,317,157 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
GMCR NQ Stock Options | $52.87 | 03/08/2013 | A | 1,240 | (4) | 03/08/2023 | GMCR Common Stock | 1,240 | (5) | 1,240 | D |
Explanation of Responses: |
1. The reporting person transferred 60,000 shares of Common Stock to 235 Via V PB LLC, a limited liability company of which the reporting person is the sole member, for no consideration. |
2. The reporting person is the sole member of 235 Via V PB LLC that owns the reported securities. The reporting person has sole voting and dispositive control over these securities. As the sole member of 235 Via V PB LLC, the reporting person may be deemed to have beneficial ownership of all shares of Common Stock of which 235 Via V PB LLC has beneficial ownership. However, the reporting person disclaims beneficial ownership of all shares of Common Stock held by 235 Via V PB LLC except to the extent of his pecuniary interest therein. |
3. Represents restricted stock units granted to the reporting person. The restricted stock units fully vested on the date of grant, subject to a holding period of the net shares for two years and until the director meets GMCR's minimum stock ownership guidelines. All minimum ownership restrictions lapse upon the reporting person's death or termination of service from the board of directors of GMCR. |
4. The option fully vested on the date of grant, subject to a holding period of the net shares for two years and until the director meets GMCR's minimum stock ownership guidelines. All minimum ownership restrictions lapse upon the reporting person's death or termination of service from the board of directors of GMCR. |
5. 1 for 1 |
/s/ Valerie Jennings pursuant to a Power of Attorney | 03/12/2013 | |
** 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 4 (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. |