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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Stock Units | (1) | 11/20/2014 | A | 2,723 | (2) | (2) | Common Stock | 2,723 | $ 0 | 2,723 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RATHKE FRANCES G 33 COFFEE LANE WATERBURY, VT 05676 |
Chief Financial Officer |
/s/ Kristin E. Blazewicz, Pursuant to a Power of Atttorney | 11/24/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Each performance stock unit represents a contingent right to receive one share of Keurig Green Mountain, Inc.'s (the "Company") common stock. |
(2) | Represents the earned but unvested portion of the performance stock units granted to the reporting person in March 2013. Fifty percent of the earned performance stock units vested on November 20, 2014 and are included in Table I of this Form 4; the remaining fifty percent of the earned performance stock units are included in Table II of this Form 4 and will vest on November 20, 2015 (subject to the reporting person's transition agreement). The performance stock units were earned based on the Company's compounded annual growth rate in non-GAAP earnings per share during the period beginning on the first day of the Company's 2013 fiscal year and ending on the close of business on the last day of the Company's 2014 fiscal year. |