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
Dr Pepper Snapple Group, Inc. [ DPS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/18/2017 | ||||||||||||||||||||||||||
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 | ||||||
Common Stock | 05/18/2017 | M(1) | 524 | A | $47.67 | 12,460 | D | |||
Common Stock | 05/18/2017 | J(2) | 42 | A | $0.00 | 12,502 | D | |||
Common Stock | 05/18/2017 | M(3) | 349 | A | $71.6 | 12,851 | D | |||
Common Stock | 05/18/2017 | J(4) | 18 | A | $0.00 | 12,869 | D | |||
Common Stock | 05/18/2017 | M(5) | 271 | A | $92.23 | 13,140 | D | |||
Common Stock | 05/18/2017 | J(6) | 7 | A | $0.00 | 13,147 | 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 | ||||||||
Deferred Stock Units | $0.00(7) | 05/18/2017 | M(1) | 524 | (8) | (8) | Common Stock | 524 | $47.67 | 0 | D | ||||
Deferred Stock Units | $0.00(7) | 05/18/2017 | M(3) | 349 | (8) | (8) | Common Stock | 349 | $71.6 | 0 | D | ||||
Deferred Stock Units | $0.00(7) | 05/18/2017 | M(5) | 271 | (8) | (8) | Common Stock | 271 | $92.23 | 0 | D |
Explanation of Responses: |
1. These shares represent deferred stock units acquired on January 2, 2014 pursuant to the Issuer's Nonemployee Director Deferral Plan effective September 18, 2013 (the "Plan") and settled on May 18, 2017. |
2. These shares are deferred stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that settled on May 18, 2017. |
3. These shares represent deferred stock units acquired on January 2, 2015 pursuant to the Plan and settled on March 18, 2017. |
4. These shares are deferred stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (3) above) that settled on May 18, 2017. |
5. These shares represent deferred stock units acquired on January 4, 2016 pursuant to the Plan and settled on May 18, 2017. |
6. These shares are deferred stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (5) above) that settled on May 18, 2017. |
7. Each deferred stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Plan. |
8. On May 18, 2017 reporting person retired as a director of Dr Pepper Snapple Group, Inc. Pursuant to the Plan, deferred stock units are fully vested and shall be paid in one installment within thirty (30) days after reporting person's separation from service as a director in shares of the Issuer's Common Stock. |
Remarks: |
Wayne R. Lewis, attorney in fact | 05/19/2017 | |
** 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. |