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COTY

COTY INC.

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SEC CIK
0001024305
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2 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202610
Mar 202610
Apr 202600
May 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 05, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Exercise / conversionClass A common stock 2,398 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · nonDerivative · entry 5

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,450

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: This Form 4/A is being filed to correct the number of Restricted Stock Units that vested on October 5, 2021.

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September 30, 2021 Filed Oct 1, 2021 16:11 UTC SaleSeries B Convertible Preferred Stock · Derivative 290,465 Not disclosed Strike: $6.24 Not disclosed
Disclosure

SEC source: 0001140361-21-033277 · form4.xml · derivative · entry 1

KKR Rainbow Aggregator L.P. · CIK 0001813405 · 10% owner

KKR Rainbow Aggregator GP LLC · CIK 0001813396 · 10% owner

KKR European Fund V (USD) SCSp · CIK 0001755734 · 10% owner

KKR Associates Europe V SCSp · CIK 0001813358 · 10% owner

KKR Europe V S.a r.l. · CIK 0001813365 · 10% owner

KKR Europe V Holdings Ltd · CIK 0001813351 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 277,902

Underlying: Class A Common Stock · 46,548,875 shares

Expires not disclosed

F2 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On September 30, 2021, Coty, Inc. and KKR Rainbow Aggregator L.P. entered into an agreement which provides for the exchange by KKR Rainbow Aggregator L.P. of 290,465 shares of Series B Preferred Stock, along with certain cash dividends declared thereon, for approximately 9% of the equity interests in Coty JV Holdings S.a r.l,, the holding company of certain assets, including the Wella, Clairol, OPI and ghd brands, which equity interests shall be issued to an affiliate of KKR Rainbow Aggregator L.P. The closing of the exchange is expected to occur on or about October 20, 2021.

F1 · price: On September 30, 2021, Coty, Inc. and KKR Rainbow Aggregator L.P. entered into an agreement which provides for the exchange by KKR Rainbow Aggregator L.P. of 290,465 shares of Series B Preferred Stock, along with certain cash dividends declared thereon, for approximately 9% of the equity interests in Coty JV Holdings S.a r.l,, the holding company of certain assets, including the Wella, Clairol, OPI and ghd brands, which equity interests shall be issued to an affiliate of KKR Rainbow Aggregator L.P. The closing of the exchange is expected to occur on or about October 20, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F5 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer.

F3 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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September 30, 2021 Filed Oct 1, 2021 20:10 UTC SaleSeries B Convertible Preferred Stock · Derivative 290,465 Not disclosed Strike: $6.24 Not disclosed
Disclosure

SEC source: 0001140361-21-033278 · form4.xml · derivative · entry 1

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 277,902

Underlying: Class A Common Stock · 46,548,875 shares

Expires not disclosed

F2 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On September 30, 2021, Coty, Inc. and KKR Rainbow Aggregator L.P. entered into an agreement which provides for the exchange by KKR Rainbow Aggregator L.P. of 290,465 shares of Series B Preferred Stock, along with certain cash dividends declared thereon, for approximately 9% of the equity interests in Coty JV Holdings S.a r.l,, the holding company of certain assets, including the Wella, Clairol, OPI and ghd brands, which equity interests shall be issued to an affiliate of KKR Rainbow Aggregator L.P. The closing of the exchange is expected to occur on or about October 20, 2021.

F1 · price: On September 30, 2021, Coty, Inc. and KKR Rainbow Aggregator L.P. entered into an agreement which provides for the exchange by KKR Rainbow Aggregator L.P. of 290,465 shares of Series B Preferred Stock, along with certain cash dividends declared thereon, for approximately 9% of the equity interests in Coty JV Holdings S.a r.l,, the holding company of certain assets, including the Wella, Clairol, OPI and ghd brands, which equity interests shall be issued to an affiliate of KKR Rainbow Aggregator L.P. The closing of the exchange is expected to occur on or about October 20, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F5 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer.

F3 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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September 28, 2021 Filed Dec 2, 2021 02:40 UTC Amendment GiftClass A common stock 161,500 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000126 · wf-form4a_163841282539421.xml · nonDerivative · entry 3

Singer Robert S · CIK 0001291809 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Robert Singer 2005 Insurance Trust

Disclosed balance after: 161,500

F2 · ownership.direct: The reporting person disclaims beneficial ownership over the securities reported herein as indirectly beneficially owned, except to the extent of his pecuniary interest therein.

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September 28, 2021 Filed Dec 2, 2021 02:40 UTC Amendment GiftClass A common stock 161,500 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000126 · wf-form4a_163841282539421.xml · nonDerivative · entry 1

Singer Robert S · CIK 0001291809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,982

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September 10, 2021 Filed Sep 10, 2021 17:27 UTC SaleClass A Common Stock 50,000,088 $8.39 $419,500,738.32
Disclosure

SEC source: 0001140361-21-030952 · form4.xml · nonDerivative · entry 1

KKR Rainbow Aggregator L.P. · CIK 0001813405 · 10% owner

KKR Rainbow Aggregator GP LLC · CIK 0001813396 · 10% owner

KKR European Fund V (USD) SCSp · CIK 0001755734 · 10% owner

KKR Associates Europe V SCSp · CIK 0001813358 · 10% owner

KKR Europe V S.a r.l. · CIK 0001813365 · 10% owner

KKR Europe V Holdings Ltd · CIK 0001813351 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · price: This amount represents the $8.53 secondary public offering price per share of Class A Common Stock, less the underwriting discount of $0.14 per share for shares sold pursuant to an underwritten public offering.

F2 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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September 10, 2021 Filed Sep 10, 2021 21:23 UTC SaleClass A Common Stock 50,000,088 $8.39 $419,500,738.32
Disclosure

SEC source: 0001140361-21-030950 · form4.xml · nonDerivative · entry 1

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · price: This amount represents the $8.53 secondary public offering price per share of Class A Common Stock, less the underwriting discount of $0.14 per share for shares sold pursuant to an underwritten public offering.

F2 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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September 07, 2021 Filed Sep 9, 2021 17:01 UTC ConversionSeries B Convertible Preferred Stock · Derivative 285,576 $0.00 Strike: $6.24 $0.00
Disclosure

SEC source: 0001140361-21-030816 · form4.xml · derivative · entry 2

KKR Rainbow Aggregator L.P. · CIK 0001813405 · 10% owner

KKR Rainbow Aggregator GP LLC · CIK 0001813396 · 10% owner

KKR European Fund V (USD) SCSp · CIK 0001755734 · 10% owner

KKR Associates Europe V SCSp · CIK 0001813358 · 10% owner

KKR Europe V S.a r.l. · CIK 0001813365 · 10% owner

KKR Europe V Holdings Ltd · CIK 0001813351 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 568,367

Underlying: Class A Common Stock · 50,000,088 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On September 7, 2021, in connection with a registered secondary offering of shares of Class A common stock, par value of $0.01 per share (the "Class A Common Stock"), of Coty Inc. (the "Issuer"), KKR Rainbow Aggregator, L.P. delivered a conversion notice to convert 285,576 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock"), of the Issuer into shares of Class A Common Stock pursuant to the terms thereof. The offering of such Class A Common Stock is expected to close on September 10, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F5 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer.

F3 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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September 07, 2021 Filed Sep 9, 2021 17:01 UTC ConversionClass A Common Stock 50,000,088 $6.24 $312,000,549.12
Disclosure

SEC source: 0001140361-21-030816 · form4.xml · nonDerivative · entry 1

KKR Rainbow Aggregator L.P. · CIK 0001813405 · 10% owner

KKR Rainbow Aggregator GP LLC · CIK 0001813396 · 10% owner

KKR European Fund V (USD) SCSp · CIK 0001755734 · 10% owner

KKR Associates Europe V SCSp · CIK 0001813358 · 10% owner

KKR Europe V S.a r.l. · CIK 0001813365 · 10% owner

KKR Europe V Holdings Ltd · CIK 0001813351 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 50,000,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On September 7, 2021, in connection with a registered secondary offering of shares of Class A common stock, par value of $0.01 per share (the "Class A Common Stock"), of Coty Inc. (the "Issuer"), KKR Rainbow Aggregator, L.P. delivered a conversion notice to convert 285,576 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock"), of the Issuer into shares of Class A Common Stock pursuant to the terms thereof. The offering of such Class A Common Stock is expected to close on September 10, 2021.

F2 · price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F3 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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September 07, 2021 Filed Oct 21, 2021 23:53 UTC
Jaeckin AnneChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 1,825 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000078 · wf-form4_163486037900189.xml · derivative · entry 4

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,816

Underlying: Class A common stock · 1,825 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 07, 2021 Filed Oct 21, 2021 23:53 UTC
Jaeckin AnneChief Human Resources Officer
Exercise / conversionClass A common stock 1,825 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000078 · wf-form4_163486037900189.xml · nonDerivative · entry 2

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,968

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 07, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Exercise / conversionRestricted Stock Units · Derivative 3,221 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · derivative · entry 10

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,448

Underlying: Class A common stock · 3,221 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F2 · shares: This Form 4/A is being filed to include the vesting of certain Restricted Stock Units on September 7, 2021.

F7 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F7 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F2 · derivative.underlying_shares: This Form 4/A is being filed to include the vesting of certain Restricted Stock Units on September 7, 2021.

Read SEC document
September 07, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Tax withholdingClass A common stock 1,229 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · nonDerivative · entry 4

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,052

F3 · shares: This Form 4/A is filed to correct the number of shares withheld to cover for taxes as described in this footnote. The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on September 7, 2021.

F3 · balance_after: This Form 4/A is filed to correct the number of shares withheld to cover for taxes as described in this footnote. The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on September 7, 2021.

Read SEC document
September 07, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Exercise / conversionClass A common stock 3,221 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · nonDerivative · entry 3

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,281

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: This Form 4/A is being filed to include the vesting of certain Restricted Stock Units on September 7, 2021.

F2 · balance_after: This Form 4/A is being filed to include the vesting of certain Restricted Stock Units on September 7, 2021.

Read SEC document
September 07, 2021 Filed Nov 17, 2021 23:43 UTC Amendment
Jaeckin AnneChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 1,825 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000120 · wf-form4a_163719257502161.xml · derivative · entry 6

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,816

Underlying: Class A common stock · 1,825 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F3 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F3 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 07, 2021 Filed Nov 17, 2021 23:43 UTC Amendment
Jaeckin AnneChief Human Resources Officer
Exercise / conversionClass A common stock 1,825 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000120 · wf-form4a_163719257502161.xml · nonDerivative · entry 3

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,759

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 07, 2021 Filed Sep 9, 2021 21:00 UTC ConversionSeries B Convertible Preferred Stock · Derivative 285,576 $0.00 Strike: $6.24 $0.00
Disclosure

SEC source: 0001140361-21-030815 · form4.xml · derivative · entry 2

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 568,367

Underlying: Class A Common Stock · 50,000,088 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On September 7, 2021, in connection with a registered secondary offering of shares of Class A common stock, par value of $0.01 per share (the "Class A Common Stock"), of Coty Inc. (the "Issuer"), KKR Rainbow Aggregator, L.P. delivered a conversion notice to convert 285,576 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock"), of the Issuer into shares of Class A Common Stock pursuant to the terms thereof. The offering of such Class A Common Stock is expected to close on September 10, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F2 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F5 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer.

F3 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

Read SEC document
September 07, 2021 Filed Sep 9, 2021 21:00 UTC ConversionClass A Common Stock 50,000,088 $6.24 $312,000,549.12
Disclosure

SEC source: 0001140361-21-030815 · form4.xml · nonDerivative · entry 1

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 50,000,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On September 7, 2021, in connection with a registered secondary offering of shares of Class A common stock, par value of $0.01 per share (the "Class A Common Stock"), of Coty Inc. (the "Issuer"), KKR Rainbow Aggregator, L.P. delivered a conversion notice to convert 285,576 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock"), of the Issuer into shares of Class A Common Stock pursuant to the terms thereof. The offering of such Class A Common Stock is expected to close on September 10, 2021.

F2 · price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F3 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

Read SEC document
September 04, 2021 Filed Oct 21, 2021 19:54 UTC
Zafar AyeshaSVP Group Controller
Exercise / conversionRestricted Stock Units · Derivative 13,975 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000079 · wf-form4_163486042569301.xml · derivative · entry 4

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,789

Underlying: Class A common stock · 13,975 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 04, 2021 Filed Oct 21, 2021 19:54 UTC
Zafar AyeshaSVP Group Controller
Exercise / conversionClass A common stock 13,975 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000079 · wf-form4_163486042569301.xml · nonDerivative · entry 1

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,435

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 04, 2021 Filed Oct 21, 2021 23:54 UTC
Mercier LaurentChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 14,095 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000080 · wf-form4_163486048313599.xml · derivative · entry 3

Mercier Laurent · CIK 0001846654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,268

Underlying: Class A common stock · 14,095 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 04, 2021 Filed Oct 21, 2021 23:54 UTC
Mercier LaurentChief Financial Officer
Exercise / conversionClass A common stock 14,095 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000080 · wf-form4_163486048313599.xml · nonDerivative · entry 1

Mercier Laurent · CIK 0001846654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,095

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 04, 2021 Filed Oct 21, 2021 23:53 UTC
Jaeckin AnneChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 7,987 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000078 · wf-form4_163486037900189.xml · derivative · entry 3

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,641

Underlying: Class A common stock · 7,987 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 04, 2021 Filed Oct 21, 2021 23:53 UTC
Jaeckin AnneChief Human Resources Officer
Exercise / conversionClass A common stock 7,987 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000078 · wf-form4_163486037900189.xml · nonDerivative · entry 1

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,143

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 04, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Exercise / conversionRestricted Stock Units · Derivative 14,095 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · derivative · entry 9

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,669

Underlying: Class A common stock · 14,095 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F7 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F7 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 04, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Tax withholdingClass A common stock 5,375 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · nonDerivative · entry 2

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,060

F1 · shares: This Form 4/A is filed to correct the number of shares withheld to cover for taxes as described in this footnote. The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on September 4, 2021.

F1 · balance_after: This Form 4/A is filed to correct the number of shares withheld to cover for taxes as described in this footnote. The Company withheld shares of common stock to satisfy the tax withholding obligation for the Reporting Person's Restricted Stock Units that vested on September 4, 2021.

Read SEC document
September 04, 2021 Filed Nov 17, 2021 18:42 UTC Amendment
Zafar AyeshaSVP Group Controller
Exercise / conversionClass A common stock 13,975 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000119 · wf-form4a_163719254310399.xml · nonDerivative · entry 1

Zafar Ayesha · CIK 0001674510 · SVP Group Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,435

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 04, 2021 Filed Nov 17, 2021 23:43 UTC Amendment
Jaeckin AnneChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 7,987 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000120 · wf-form4a_163719257502161.xml · derivative · entry 5

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,641

Underlying: Class A common stock · 7,987 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F3 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F3 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

Read SEC document
September 04, 2021 Filed Nov 17, 2021 23:43 UTC Amendment
Jaeckin AnneChief Human Resources Officer
Exercise / conversionClass A common stock 7,987 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000120 · wf-form4a_163719257502161.xml · nonDerivative · entry 1

Jaeckin Anne · CIK 0001813936 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,143

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 31, 2021 Filed Sep 2, 2021 20:42 UTC
Nabi SueDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 10,000,000 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000064 · wf-form4_163061534320241.xml · derivative · entry 2

Nabi Sue · CIK 0001823432 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000,000

Underlying: Class A common stock · 10,000,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. In connection with such vesting, as previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi 10,000,000 shares of Common Stock no later than sixty days following the vesting date of August 31, 2021.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. In connection with such vesting, as previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi 10,000,000 shares of Common Stock no later than sixty days following the vesting date of August 31, 2021.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. In connection with such vesting, as previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi 10,000,000 shares of Common Stock no later than sixty days following the vesting date of August 31, 2021.

Read SEC document
August 31, 2021 Filed Sep 2, 2021 20:42 UTC
Nabi SueDirector · Chief Executive Officer
Exercise / conversionClass A common stock 10,000,000 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000064 · wf-form4_163061534320241.xml · nonDerivative · entry 1

Nabi Sue · CIK 0001823432 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. In connection with such vesting, as previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi 10,000,000 shares of Common Stock no later than sixty days following the vesting date of August 31, 2021.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 21:00 UTC
Nabi SueDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 30,000,000 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000048 · wf-form4_162525961079742.xml · derivative · entry 1

Nabi Sue · CIK 0001823432 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000,000

Underlying: Class A common stock · 30,000,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. Subject to certain vesting conditions and exceptions, the Restricted Stock Units vest as follows: 10,000,000 shares of Class A Common Stock on each of August 31, 2021; August 31, 2022; and August 31, 2023. As previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi (either directly or through contributing to the Issuer) one-half of the total number of shares of Common Stock owed to her if and when the award vests.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. Subject to certain vesting conditions and exceptions, the Restricted Stock Units vest as follows: 10,000,000 shares of Class A Common Stock on each of August 31, 2021; August 31, 2022; and August 31, 2023. As previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi (either directly or through contributing to the Issuer) one-half of the total number of shares of Common Stock owed to her if and when the award vests.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settles for one share of Class A Common Stock of the Issuer. Subject to certain vesting conditions and exceptions, the Restricted Stock Units vest as follows: 10,000,000 shares of Class A Common Stock on each of August 31, 2021; August 31, 2022; and August 31, 2023. As previously disclosed by the Issuer, Cottage Holdco B.V., the Issuer's largest stockholder and a wholly-owned subsidiary of JAB Holding Company S.a.r.l., has agreed to transfer to Ms. Nabi (either directly or through contributing to the Issuer) one-half of the total number of shares of Common Stock owed to her if and when the award vests.

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June 05, 2021 Filed Jun 8, 2021 21:39 UTC
von Bretten GordonChief Transformation Officer
Exercise / conversionRestricted Stock Award · Derivative 230,984 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000047 · wf-form4_162318837545127.xml · derivative · entry 3

von Bretten Gordon · CIK 0001814070 · Chief Transformation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,968

Underlying: Class A common stock · 230,984 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Upon vesting, each Restricted Stock Award settled for one share of Class A Common Stock of the Issuer.

F2 · derivative.exercise_date: Upon vesting, each Restricted Stock Award settled for one share of Class A Common Stock of the Issuer.

F2 · derivative.expiration_date: Upon vesting, each Restricted Stock Award settled for one share of Class A Common Stock of the Issuer.

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June 05, 2021 Filed Jun 8, 2021 21:39 UTC
von Bretten GordonChief Transformation Officer
Tax withholdingClass A common stock 80,036 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000047 · wf-form4_162318837545127.xml · nonDerivative · entry 2

von Bretten Gordon · CIK 0001814070 · Chief Transformation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,948

F1 · shares: Represents shares surrendered to the Issuer in connection with the vesting of restricted stock to satisfy the income tax withholding and remittance obligations of the Reporting Person at a net settlement price equal to the closing price of Class A Common Stock on the New York Stock Exchange on the vesting date and does not represent a sale by the Reporting Person.

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June 05, 2021 Filed Jun 8, 2021 21:39 UTC
von Bretten GordonChief Transformation Officer
Exercise / conversionClass A common stock 230,984 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000047 · wf-form4_162318837545127.xml · nonDerivative · entry 1

von Bretten Gordon · CIK 0001814070 · Chief Transformation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,984

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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May 26, 2021 Filed May 28, 2021 20:41 UTC
Agnaten SE10% owner
Lucresca SE10% owner
PurchaseClass A Common Stock, par value $0.01 per share 245,700 $11.78 $2,894,346.00
Disclosure

SEC source: 0001104659-21-074240 · tm2117760d1_4.xml · nonDerivative · entry 1

Cottage Holdco B.V. · CIK 0001767648 · 10% owner

JAB Cosmetics B.V. · CIK 0001636487 · 10% owner

JAB Holdings B.V. · CIK 0001579134 · 10% owner

Agnaten SE · CIK 0001579044 · 10% owner

Lucresca SE · CIK 0001394212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 463,853,684

F1 · shares: On May 26, 2021, Cottage Holdco B.V. entered into a stock purchase agreement pursuant to which Cottage Holdco B.V. agreed to purchase 245,700 shares of Class A Common Stock in a privately negotiated transaction.

F2 · ownership.direct: The Shares described in this report are held by Cottage Holdco B.V., a direct or indirect subsidiary of each other Reporting Person herein. As such, each other Reporting Person herein may be deemed to beneficially own such Shares held by Cottage Holdco B.V. Each of the Reporting Persons disclaims any beneficial ownership of such Shares, except to the extent of its pecuniary interests therein.

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May 17, 2021 Filed May 18, 2021 20:10 UTC PurchaseClass A common stock 11,000 $8.90 $97,900.00
Disclosure

SEC source: 0001024305-21-000042 · wf-form4_162136861514386.xml · nonDerivative · entry 1

Parize Isabelle · CIK 0001805944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,225

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February 11, 2021 Filed Feb 16, 2021 22:16 UTC PurchaseClass A common stock 75,000 $6.63 $497,160.00
Disclosure

SEC source: 0001024305-21-000023 · wf-form4_161351373685234.xml · nonDerivative · entry 1

Singer Robert S · CIK 0001291809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 446,482

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.5745 to $6.7272, inclusive. The reporting person undertakes to provide to Coty Inc., any security holder of Coty Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

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February 11, 2021 Filed Feb 16, 2021 22:14 UTC PurchaseClass A common stock 15,225 $6.60 $100,485.00
Disclosure

SEC source: 0001024305-21-000022 · wf-form4_161351365727079.xml · nonDerivative · entry 1

Parize Isabelle · CIK 0001805944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,225

Read SEC document
February 11, 2021 Filed Feb 16, 2021 22:13 UTC PurchaseClass A common stock 50,000 $6.86 $342,920.00
Disclosure

SEC source: 0001024305-21-000021 · wf-form4_161351357196902.xml · nonDerivative · entry 1

Goudet Olivier · CIK 0001578897 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,129

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.845 to $6.88, inclusive. The reporting person undertakes to provide to Coty Inc., any security holder of Coty Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

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December 30, 2020 Filed Dec 31, 2020 16:35 UTC SaleSeries B Convertible Preferred Stock · Derivative 146,057 $1,027.00 Strike: $6.24 $150,000,539.00
Disclosure

SEC source: 0001140361-20-030062 · form4.xml · derivative · entry 2

KKR Rainbow Aggregator L.P. · CIK 0001813405 · 10% owner

KKR Rainbow Aggregator GP LLC · CIK 0001813396 · 10% owner

KKR European Fund V (USD) SCSp · CIK 0001755734 · 10% owner

KKR Associates Europe V SCSp · CIK 0001813358 · 10% owner

KKR Europe V S.a r.l. · CIK 0001813365 · 10% owner

KKR Europe V Holdings Ltd · CIK 0001813351 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 24,028,822 shares

Expires not disclosed

F5 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · shares: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · price: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F5 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F6 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer. The number of shares of Series B Preferred Stock that corresponds to the sale described in footnote (1) above was equal to approximately 24,028,822 underlying shares of Class A Common Stock, based on the current conversion rate of such Series B Preferred Stock and the liquidation preference and accrued dividends of such shares as of the date of the Purchase Agreement.

F5 · balance_after: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F3 · ownership.nature: Represents securities which will be distributed by KKR Rainbow Aggregator L.P. to certain affiliated investment funds in connection with the sale by those investment funds of such securities as described in footnote (1) above. Following such sale, the affiliated investment funds will not directly hold any securities of the Issuer.

F7 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

Read SEC document
December 30, 2020 Filed Dec 31, 2020 16:35 UTC OtherSeries B Convertible Preferred Stock · Derivative 146,057 Not disclosed Strike: $6.24 Not disclosed
Disclosure

SEC source: 0001140361-20-030062 · form4.xml · derivative · entry 1

KKR Rainbow Aggregator L.P. · CIK 0001813405 · 10% owner

KKR Rainbow Aggregator GP LLC · CIK 0001813396 · 10% owner

KKR European Fund V (USD) SCSp · CIK 0001755734 · 10% owner

KKR Associates Europe V SCSp · CIK 0001813358 · 10% owner

KKR Europe V S.a r.l. · CIK 0001813365 · 10% owner

KKR Europe V Holdings Ltd · CIK 0001813351 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 853,943

Underlying: Class A Common Stock · 24,028,822 shares

Expires not disclosed

F5 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · shares: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · price: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F5 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F6 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer. The number of shares of Series B Preferred Stock that corresponds to the sale described in footnote (1) above was equal to approximately 24,028,822 underlying shares of Class A Common Stock, based on the current conversion rate of such Series B Preferred Stock and the liquidation preference and accrued dividends of such shares as of the date of the Purchase Agreement.

F5 · balance_after: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F2 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F7 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

Read SEC document
December 30, 2020 Filed Dec 31, 2020 21:34 UTC
HARF PETERDirector
PurchaseSeries B Convertible Preferred Stock · Derivative 146,057 $1,027.00 Strike: $6.24 $150,000,539.00
Disclosure

SEC source: 0001104659-20-141002 · tm2039664-1_4.xml · derivative · entry 1

HARF PETER · CIK 0001223301 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By HFS Holdings S.a r.l.

Disclosed balance after: 146,057

Underlying: Class A common stock · 24,028,822 shares

Expires not disclosed

F4 · derivative.exercise_price: Series B Shares are convertible into (i) a number of Class A Shares equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such Series B Share as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Company has obtained prior stockholder approval, and if such approval has not been obtained, the Company will deliver cash in lieu of any Class A Shares not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On November 16, 2020, HFS Holdings S.a r.l. ("HFS"), a private limited liability company incorporated under the laws of Luxembourg that is beneficially owned by the Reporting Person, entered into a Purchase and Sale Agreement (the "Purchase Agreement") with KKR Rainbow Aggregator L.P. and certain of its affiliated investment funds (the "Sellers"), pursuant to which HFS agreed to purchase from the Sellers, in exchange for an aggregate purchase price of $150,000,539 ($1,027 per share), 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Shares"), of Coty Inc. (the "Company") that were issued on July 31, 2020 and all Accrued Dividends thereon (as defined in the Series B Certificate of Designations) (the "Series B Purchase").

F2 · kind: The Series B Purchase, which is subject to customary closing conditions, including the expiration or termination of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, which was obtained on December 30, 2020, is expected to close on August 27, 2021.

F1 · shares: On November 16, 2020, HFS Holdings S.a r.l. ("HFS"), a private limited liability company incorporated under the laws of Luxembourg that is beneficially owned by the Reporting Person, entered into a Purchase and Sale Agreement (the "Purchase Agreement") with KKR Rainbow Aggregator L.P. and certain of its affiliated investment funds (the "Sellers"), pursuant to which HFS agreed to purchase from the Sellers, in exchange for an aggregate purchase price of $150,000,539 ($1,027 per share), 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Shares"), of Coty Inc. (the "Company") that were issued on July 31, 2020 and all Accrued Dividends thereon (as defined in the Series B Certificate of Designations) (the "Series B Purchase").

F2 · shares: The Series B Purchase, which is subject to customary closing conditions, including the expiration or termination of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, which was obtained on December 30, 2020, is expected to close on August 27, 2021.

F1 · price: On November 16, 2020, HFS Holdings S.a r.l. ("HFS"), a private limited liability company incorporated under the laws of Luxembourg that is beneficially owned by the Reporting Person, entered into a Purchase and Sale Agreement (the "Purchase Agreement") with KKR Rainbow Aggregator L.P. and certain of its affiliated investment funds (the "Sellers"), pursuant to which HFS agreed to purchase from the Sellers, in exchange for an aggregate purchase price of $150,000,539 ($1,027 per share), 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Shares"), of Coty Inc. (the "Company") that were issued on July 31, 2020 and all Accrued Dividends thereon (as defined in the Series B Certificate of Designations) (the "Series B Purchase").

F2 · price: The Series B Purchase, which is subject to customary closing conditions, including the expiration or termination of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, which was obtained on December 30, 2020, is expected to close on August 27, 2021.

F3 · derivative.exercise_date: The Series B Shares are convertible into shares of Class A Common Stock, par value of $0.01 per share, of the Company (the "Class A Shares") at any time at the option of the holder thereof and has no stated maturity. The Series B Shares will remain outstanding indefinitely unless converted, repurchased or redeemed by the Company. The Company may mandatorily convert any or all of the Series B Shares into Class A Shares at any time after the three-year anniversary of the issuance, if certain conditions are met.

F3 · derivative.expiration_date: The Series B Shares are convertible into shares of Class A Common Stock, par value of $0.01 per share, of the Company (the "Class A Shares") at any time at the option of the holder thereof and has no stated maturity. The Series B Shares will remain outstanding indefinitely unless converted, repurchased or redeemed by the Company. The Company may mandatorily convert any or all of the Series B Shares into Class A Shares at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.underlying_shares: Series B Shares are convertible into (i) a number of Class A Shares equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such Series B Share as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Company has obtained prior stockholder approval, and if such approval has not been obtained, the Company will deliver cash in lieu of any Class A Shares not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F5 · derivative.underlying_shares: The Series B Shares reported herein have an initial liquidation preference of $1,000 per share. The Series B Shares have a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to such Series B Shares, or any combination thereof, at the sole discretion of the Company. The number of Series B Shares that correspond to the sale described in footnote (1) above was equal to approximately 24,028,822 underlying Class A Shares, based on the current conversion rate of such Series B Shares and the liquidation preference and accrued dividends of such shares as of the date of the Purchase Agreement.

F6 · ownership.nature: These Series B Shares are held by HFS. On the basis of the Reporting Person's beneficial ownership of HFS, the Reporting Person may be deemed a beneficial owner of Series B Shares held by HFS. The Reporting Person disclaims beneficial ownership of the Series B Shares, except to the extent of the Reporting Person's pecuniary interest therein.

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December 30, 2020 Filed Jan 4, 2021 22:57 UTC
Terisse Pierre-AndreChief Financial Officer & COO
Exercise / conversionRestricted Stock Units · Derivative 984,252 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000001 · wf-form4_160980102952582.xml · derivative · entry 3

Terisse Pierre-Andre · CIK 0001766930 · Chief Financial Officer & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,330

Underlying: Class A common stock · 984,252 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F2 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

F2 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit settled for one share of Class A Common Stock of the Issuer.

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December 30, 2020 Filed Jan 4, 2021 22:57 UTC
Terisse Pierre-AndreChief Financial Officer & COO
Tax withholdingClass A common stock 341,044 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000001 · wf-form4_160980102952582.xml · nonDerivative · entry 2

Terisse Pierre-Andre · CIK 0001766930 · Chief Financial Officer & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 795,208

F1 · shares: Represents shares surrendered to the Issuer in connection with the vesting of restricted stock units to satisfy the income tax withholding and remittance obligations of the Reporting Person at a net settlement price equal to the closing price of Class A Common Stock on the New York Stock Exchange on the vesting date and does not represent a sale by the Reporting Person.

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December 30, 2020 Filed Jan 4, 2021 22:57 UTC
Terisse Pierre-AndreChief Financial Officer & COO
Exercise / conversionClass A common stock 984,252 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000001 · wf-form4_160980102952582.xml · nonDerivative · entry 1

Terisse Pierre-Andre · CIK 0001766930 · Chief Financial Officer & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,136,252

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 30, 2020 Filed Dec 31, 2020 21:35 UTC SaleSeries B Convertible Preferred Stock · Derivative 146,057 $1,027.00 Strike: $6.24 $150,000,539.00
Disclosure

SEC source: 0001140361-20-030063 · form4.xml · derivative · entry 2

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 24,028,822 shares

Expires not disclosed

F5 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · shares: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · price: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F5 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F6 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer. The number of shares of Series B Preferred Stock that corresponds to the sale described in footnote (1) above was equal to approximately 24,028,822 underlying shares of Class A Common Stock, based on the current conversion rate of such Series B Preferred Stock and the liquidation preference and accrued dividends of such shares as of the date of the Purchase Agreement.

F5 · balance_after: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F3 · ownership.nature: Represents securities which will be distributed by KKR Rainbow Aggregator L.P. to certain affiliated investment funds in connection with the sale by those investment funds of such securities as described in footnote (1) above. Following such sale, the affiliated investment funds will not directly hold any securities of the Issuer.

F7 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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December 30, 2020 Filed Dec 31, 2020 21:35 UTC OtherSeries B Convertible Preferred Stock · Derivative 146,057 Not disclosed Strike: $6.24 Not disclosed
Disclosure

SEC source: 0001140361-20-030063 · form4.xml · derivative · entry 1

KKR Group Partnership L.P. · CIK 0001472698 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLP · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 853,943

Underlying: Class A Common Stock · 24,028,822 shares

Expires not disclosed

F5 · derivative.exercise_price: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F1 · kind: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · shares: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F1 · price: On November 16, 2020, KKR Rainbow Aggregator, L.P. and certain of its affiliated investment funds entered into a Purchase and Sale Agreement (the "Purchase Agreement"), whereby KKR Rainbow Aggregator, L.P. agreed to distribute to such investment funds, and such investment funds agreed to sell, 146,057 shares of Series B Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock") of Coty Inc. (the "Issuer") for an aggregate purchase price of $150,000,539, subject to the terms and conditions therein, including expiration or early termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, which was obtained on December 30, 2020. Pursuant to the Purchase Agreement, any dividends accruing or paid on such shares of Series B Preferred Stock prior to the closing date will accrue to the benefit of the purchaser. The closing of the sale under the Purchase Agreement is expected to occur on August 27, 2021.

F4 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F4 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of Class A common stock, par value of $0.01 per share, of the Issuer (the "Class A Common Stock") at any time at the option of the holder thereof and has no stated maturity. The Series B Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert any or all of the Series B Preferred Stock into Class A Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.

F5 · derivative.underlying_shares: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F6 · derivative.underlying_shares: The Series B Preferred Stock reported herein has an initial liquidation preference of $1,000 per share. The Series B Preferred Stock has a dividend rate of 9.0% per annum, accruing daily and payable quarterly in arrears, which shall increase by 1.0% on the seven year anniversary of the issuance date and shall increase by an additional 1.0% on each subsequent anniversary up to a maximum of 12.0%, which dividends will be payable in cash, by increasing the amount of accrued dividends with respect to a share of Series B Preferred Stock, or any combination thereof, at the sole discretion of the Issuer. The number of shares of Series B Preferred Stock that corresponds to the sale described in footnote (1) above was equal to approximately 24,028,822 underlying shares of Class A Common Stock, based on the current conversion rate of such Series B Preferred Stock and the liquidation preference and accrued dividends of such shares as of the date of the Purchase Agreement.

F5 · balance_after: Series B Preferred Stock is convertible into (i) a number of shares of Class A Common Stock equal to the quotient of (A) the sum of the liquidation preference and any accrued dividends with respect to such share of Series B Preferred Stock as of the applicable conversion date divided by (B) the conversion price as of the applicable conversion date plus (ii) cash in lieu of fractional shares, subject to any limitations imposed by the change of control provision under New York Stock Exchange Rule 312.03(d) unless the Issuer has obtained prior stockholder approval, and if such approval has not been obtained, the Issuer will deliver cash in lieu of any shares of Class A Common Stock not deliverable. The current conversion price is a dollar amount equal to $1,000 divided by the initial conversion rate of 160.2564, or approximately $6.24 per share, and is subject to certain anti-dilution adjustments.

F2 · ownership.nature: These securities are held by KKR Rainbow Aggregator L.P. KKR Rainbow Aggregator GP LLC is the general partner of KKR Rainbow Aggregator L.P. KKR European Fund V (USD) SCSp is the sole member of KKR Rainbow Aggregator GP LLC. KKR Associates Europe V SCSp is the general partner of KKR European Fund V (USD) SCSp. KKR Europe V S.a r.l. is the general partner of KKR Associates Europe V SCSp. KKR Europe V Holdings Limited is the sole shareholder of KKR Europe V S.a r.l. KKR Group Partnership L.P. is the sole member of KKR Europe V Holdings Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.

F7 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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December 18, 2020 Filed Feb 24, 2021 23:35 UTC GrantRestricted Stock Units · Derivative 13,287 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000026 · wf-form4_161420968614295.xml · derivative · entry 1

Makanju Anna Adeola · CIK 0001838276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,287

Underlying: Class A common stock · 13,287 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit will settle for one share of Class A common stock of Coty Inc. Each Restricted Stock Unit vests on December 18, 2025, subject to certain vesting conditions and exceptions.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit will settle for one share of Class A common stock of Coty Inc. Each Restricted Stock Unit vests on December 18, 2025, subject to certain vesting conditions and exceptions.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit will settle for one share of Class A common stock of Coty Inc. Each Restricted Stock Unit vests on December 18, 2025, subject to certain vesting conditions and exceptions.

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December 18, 2020 Filed Feb 24, 2021 23:34 UTC GrantRestricted Stock Units · Derivative 13,287 $0.00 $0.00
Disclosure

SEC source: 0001024305-21-000025 · wf-form4_161420963889890.xml · derivative · entry 1

ARAMBURUZABALA MARIA ASUNICION · CIK 0001285695 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,287

Underlying: Class A common stock · 13,287 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit will settle for one share of Class A common stock of Coty Inc. Each Restricted Stock Unit vests on December 18, 2025, subject to certain vesting conditions and exceptions.

F1 · derivative.exercise_date: Upon vesting, each Restricted Stock Unit will settle for one share of Class A common stock of Coty Inc. Each Restricted Stock Unit vests on December 18, 2025, subject to certain vesting conditions and exceptions.

F1 · derivative.expiration_date: Upon vesting, each Restricted Stock Unit will settle for one share of Class A common stock of Coty Inc. Each Restricted Stock Unit vests on December 18, 2025, subject to certain vesting conditions and exceptions.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.