Last 12 months
Inside the activity.
2 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 1 | 0 |
| Mar 2026 | 1 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 16:11 UTC |
KKR Rainbow Aggregator L.P.10% owner
KKR Rainbow Aggregator GP LLC10% owner
KKR European Fund V (USD) SCSp10% owner
KKR Associates Europe V SCSp10% owner
KKR Europe V S.a r.l.10% owner
KKR Europe V Holdings Ltd10% owner
|
SaleSeries B Convertible Preferred Stock · Derivative | 290,465 | Not disclosed Strike: $6.24 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 20:10 UTC |
KKR Group Partnership L.P.10% owner
KKR & Co. Inc.10% owner
KKR Management LLP10% owner
KRAVIS HENRY R10% owner
ROBERTS GEORGE R10% owner
KKR Group Holdings Corp.10% owner
|
SaleSeries B Convertible Preferred Stock · Derivative | 290,465 | Not disclosed Strike: $6.24 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| September 28, 2021 Filed Dec 2, 2021 02:40 UTC Amendment |
Singer Robert SDirector
|
GiftClass A common stock | 161,500 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 28, 2021 Filed Dec 2, 2021 02:40 UTC Amendment |
Singer Robert SDirector
|
GiftClass A common stock | 161,500 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| September 10, 2021 Filed Sep 10, 2021 17:27 UTC |
KKR Rainbow Aggregator L.P.10% owner
KKR Rainbow Aggregator GP LLC10% owner
KKR European Fund V (USD) SCSp10% owner
KKR Associates Europe V SCSp10% owner
KKR Europe V S.a r.l.10% owner
KKR Europe V Holdings Ltd10% owner
|
SaleClass A Common Stock | 50,000,088 | $8.39 | $419,500,738.32 |
DisclosureSEC 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. Read SEC document |
| September 10, 2021 Filed Sep 10, 2021 21:23 UTC |
KKR Group Partnership L.P.10% owner
KKR Group Holdings Corp.10% owner
KKR & Co. Inc.10% owner
KKR Management LLP10% owner
KRAVIS HENRY R10% owner
ROBERTS GEORGE R10% owner
|
SaleClass A Common Stock | 50,000,088 | $8.39 | $419,500,738.32 |
DisclosureSEC 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. Read SEC document |
| September 07, 2021 Filed Sep 9, 2021 17:01 UTC |
KKR Rainbow Aggregator L.P.10% owner
KKR Rainbow Aggregator GP LLC10% owner
KKR European Fund V (USD) SCSp10% owner
KKR Associates Europe V SCSp10% owner
KKR Europe V S.a r.l.10% owner
KKR Europe V Holdings Ltd10% owner
|
ConversionSeries B Convertible Preferred Stock · Derivative | 285,576 | $0.00 Strike: $6.24 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 07, 2021 Filed Sep 9, 2021 17:01 UTC |
KKR Rainbow Aggregator L.P.10% owner
KKR Rainbow Aggregator GP LLC10% owner
KKR European Fund V (USD) SCSp10% owner
KKR Associates Europe V SCSp10% owner
KKR Europe V S.a r.l.10% owner
KKR Europe V Holdings Ltd10% owner
|
ConversionClass A Common Stock | 50,000,088 | $6.24 | $312,000,549.12 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
KKR Group Partnership L.P.10% owner
KKR & Co. Inc.10% owner
KKR Management LLP10% owner
KRAVIS HENRY R10% owner
ROBERTS GEORGE R10% owner
KKR Group Holdings Corp.10% owner
|
ConversionSeries B Convertible Preferred Stock · Derivative | 285,576 | $0.00 Strike: $6.24 | $0.00 |
DisclosureSEC 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 |
KKR Group Partnership L.P.10% owner
KKR & Co. Inc.10% owner
KKR Management LLP10% owner
KRAVIS HENRY R10% owner
ROBERTS GEORGE R10% owner
KKR Group Holdings Corp.10% owner
|
ConversionClass A Common Stock | 50,000,088 | $6.24 | $312,000,549.12 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| May 26, 2021 Filed May 28, 2021 20:41 UTC |
JAB Beauty B.V.10% owner
JAB Cosmetics B.V.10% owner
JAB Holdings B.V.10% owner
Agnaten SE10% owner
Lucresca SE10% owner
|
PurchaseClass A Common Stock, par value $0.01 per share | 245,700 | $11.78 | $2,894,346.00 |
DisclosureSEC 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. Read SEC document |
| May 17, 2021 Filed May 18, 2021 20:10 UTC |
Parize IsabelleDirector
|
PurchaseClass A common stock | 11,000 | $8.90 | $97,900.00 |
DisclosureSEC 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 Read SEC document |
| February 11, 2021 Filed Feb 16, 2021 22:16 UTC |
Singer Robert SDirector
|
PurchaseClass A common stock | 75,000 | $6.63 | $497,160.00 |
DisclosureSEC 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. Read SEC document |
| February 11, 2021 Filed Feb 16, 2021 22:14 UTC |
Parize IsabelleDirector
|
PurchaseClass A common stock | 15,225 | $6.60 | $100,485.00 |
DisclosureSEC 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 |
Goudet OlivierDirector
|
PurchaseClass A common stock | 50,000 | $6.86 | $342,920.00 |
DisclosureSEC 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. Read SEC document |
| December 30, 2020 Filed Dec 31, 2020 16:35 UTC |
KKR Rainbow Aggregator L.P.10% owner
KKR Rainbow Aggregator GP LLC10% owner
KKR European Fund V (USD) SCSp10% owner
KKR Associates Europe V SCSp10% owner
KKR Europe V S.a r.l.10% owner
KKR Europe V Holdings Ltd10% owner
|
SaleSeries B Convertible Preferred Stock · Derivative | 146,057 | $1,027.00 Strike: $6.24 | $150,000,539.00 |
DisclosureSEC 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 |
KKR Rainbow Aggregator L.P.10% owner
KKR Rainbow Aggregator GP LLC10% owner
KKR European Fund V (USD) SCSp10% owner
KKR Associates Europe V SCSp10% owner
KKR Europe V S.a r.l.10% owner
KKR Europe V Holdings Ltd10% owner
|
OtherSeries B Convertible Preferred Stock · Derivative | 146,057 | Not disclosed Strike: $6.24 | Not disclosed |
DisclosureSEC 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| December 30, 2020 Filed Dec 31, 2020 21:35 UTC |
KKR Group Partnership L.P.10% owner
KKR Group Holdings Corp.10% owner
KKR & Co. Inc.10% owner
KKR Management LLP10% owner
KRAVIS HENRY R10% owner
ROBERTS GEORGE R10% owner
|
SaleSeries B Convertible Preferred Stock · Derivative | 146,057 | $1,027.00 Strike: $6.24 | $150,000,539.00 |
DisclosureSEC 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. Read SEC document |
| December 30, 2020 Filed Dec 31, 2020 21:35 UTC |
KKR Group Partnership L.P.10% owner
KKR Group Holdings Corp.10% owner
KKR & Co. Inc.10% owner
KKR Management LLP10% owner
KRAVIS HENRY R10% owner
ROBERTS GEORGE R10% owner
|
OtherSeries B Convertible Preferred Stock · Derivative | 146,057 | Not disclosed Strike: $6.24 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 18, 2020 Filed Feb 24, 2021 23:35 UTC |
Makanju Anna AdeolaDirector
|
GrantRestricted Stock Units · Derivative | 13,287 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 18, 2020 Filed Feb 24, 2021 23:34 UTC |
ARAMBURUZABALA MARIA ASUNICIONDirector
|
GrantRestricted Stock Units · Derivative | 13,287 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.