-----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, NAvufwR0I7/5YMhsmCYLv113+RA/wkb9kXCFrcmYOjTGXD92aZYTZOjcRA3vzGaA viN3yqJISwKtbNa5d2EyTg== 0001226477-06-000001.txt : 20061211 0001226477-06-000001.hdr.sgml : 20061211 20061211124216 ACCESSION NUMBER: 0001226477-06-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061207 FILED AS OF DATE: 20061211 DATE AS OF CHANGE: 20061211 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GREEN MOUNTAIN COFFEE ROASTERS INC CENTRAL INDEX KEY: 0000909954 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS FOOD PREPARATIONS & KINDRED PRODUCTS [2090] IRS NUMBER: 030339228 STATE OF INCORPORATION: DE FISCAL YEAR END: 0928 BUSINESS ADDRESS: STREET 1: 33 COFFEE LANE CITY: WATERBURY STATE: VT ZIP: 05676 BUSINESS PHONE: 8022445621 MAIL ADDRESS: STREET 1: 33 COFFEE LANE CITY: WATERBURY STATE: VT ZIP: 05676 FORMER COMPANY: FORMER CONFORMED NAME: GREEN MOUNTAIN COFFEE INC DATE OF NAME CHANGE: 19930729 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RATHKE FRANCES G CENTRAL INDEX KEY: 0001226477 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12340 FILM NUMBER: 061267694 MAIL ADDRESS: STREET 1: C/O GREEN MOUNTAIN COFFEE ROASTERS, INC. STREET 2: 33 COFFEE LANE CITY: WATERBURY STATE: VT ZIP: 05676 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2006-12-07 0 0000909954 GREEN MOUNTAIN COFFEE ROASTERS INC GMCR 0001226477 RATHKE FRANCES G C/O GREEN MOUNTAIN COFFEE ROASTERS, INC. 33 COFFEE LANE WATERBURY VT 05676 0 1 0 0 Chief Financial Officer Employee Stock Option (right to buy) 17.33 2006-12-07 4 D 0 25000 0 D 2013-10-31 GMCR Common Stock 25000 0 D Employee Stock Option (right to buy) 21.34 2006-12-07 4 A 0 25000 0 A 2013-10-31 GMCR Common Stock 25000 25000 D On October 31, 2003, Ms. Rathke received an option to purchase 25,000 shares, which the Company had historically accounted for as a discounted option. Subsequent to the grant of this option, the Internal Revenue Service adopted Section 409A of the Internal Revenue Code of 1986, as amended, which negatively impacted the treatment of discounted stock options. On the basis of interim guidance provided by the IRS, the Company and Ms.Rathke agreed to amend the option to avoid the adverse tax consequences of Section 409A by increasing the exercise price of the option to the fair market value on the date of its grant. Twenty-five percent of this option vested on October 31, 2004, after which the options vest in monthly installments equal to 1/48th of the total grant. /s/ Frances G. Rathke 2006-12-11 -----END PRIVACY-ENHANCED MESSAGE-----