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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 | ||||||||
Restricted Stock Unit | (5) | 05/07/2008 | A | 23,659 | (6) | (6) | Common Stock | 23,659 | $ 0 | 23,659 | D | ||||
Employee Stock Option (RIght to Buy) | $ 25.36 | 05/07/2008 | A | 76,892 | (7) | 05/07/2018 | Common Stock | 76,892 | $ 0 | 76,892 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stewart John O. 5301 LEGACY DRIVE PLANO, TX 75024 |
X | Executive Vice President & CFO |
Wayne R. Lewis, attorney in fact | 05/09/2008 | |
**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) | Shares were acquired as the result of the spin off of the Americas Beverages business by Cadbury Schweppes plc, as described in the Issuer's Form 10 filed with the SEC (the "Spin Off"). These shares were distributed to reporting person in connection with the Spin Off and arising from their holdings of Cadbury Schweppes plc ADR's or shares on the date of the Spin Off. |
(2) | This share award was granted in connection with the Spin Off. The share award was converted from the Bonus Share Retention Plan of Cadbury Schweppes plc and granted under the Issuer's Legacy Bonus Share Retention Plan. The share award represents the right to receive the Issuer's Common Stock and the shares will be settled on March 4, 2010. The number of shares issued pursuant to the Spin Off, is subject to the approval of a Cadbury administrative committee and if not approved, or approved with modifications, an amended Form 4 will be filed. |
(3) | This share award was granted in connection with the Spin Off. The share award was converted from the Long Term Incentive Plan of Cadbury Schweppes plc and granted under the Issuer's Legacy Long Term Incentive Plan. The share award represents the right to receive the Issuer's Common Stock and 3,626 shares will be settled on April 7, 2009 and 4,120 shares will be settled on March 29, 2010. The number of shares issued pursuant to the Spin Off, is subject to the approval of a Cadbury administrative committee and if not approved, or approved with modifications, an amended Form 4 will be filed. |
(4) | This share award was granted in connection with the Spin Off. The share award was converted from the International Share Award Plan of Cadbury Schweppes plc and granted under the Issuer's Legacy International Share Award Plan. The share award represents the right to receive the Issuer's Common Stock and 4,397 shares will be settled on November 30, 2008 and 4,397 shares will be settled on November 30, 2009. The number of shares issued pursuant to the Spin Off, is subject to the approval of a Cadbury administrative committee and if not approved, or approved with modifications, an amended Form 4 will be filed. |
(5) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2008. |
(6) | Restricted stock units will vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date. |
(7) | This option was granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2008 and vests in three equal annual installments commencing on May 7, 2009. |