Last 12 months
Inside the activity.
0 purchase rows · 4 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 | 0 | 1 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 1 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 1 |
| 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 |
|---|---|---|---|---|---|---|
| February 13, 2019 Filed Feb 15, 2019 23:09 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
Exercise / conversionStock Options (right to buy) · Derivative | 29,340 | $0.00 Strike: $19.08 | $0.00 |
DisclosureSEC source: 0001209191-19-010751 · doc4.xml · derivative · entry 5 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 29,340 shares Expires 2020-02-21 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_date: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 22, 2013 and expire on February 21, 2020. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 23:09 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
GiftClass A Common Stock | 63,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010751 · doc4.xml · nonDerivative · entry 4 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · by wife Disclosed balance after: 63,000 F3 · shares: This transaction involved a gift of securities by the reporting person to his wife, who shares the reporting person's household. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 23:09 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
GiftClass A Common Stock | 63,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-010751 · doc4.xml · nonDerivative · entry 3 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,360 F3 · shares: This transaction involved a gift of securities by the reporting person to his wife, who shares the reporting person's household. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 23:09 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
SaleClass A Common Stock | 29,340 | $47.72 | $1,400,104.80 |
DisclosureSEC source: 0001209191-19-010751 · doc4.xml · nonDerivative · entry 2 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,360 F2 · shares: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.72 to $47.74, inclusive. The reporting person undertakes to provide to Mondelez International, Inc., any security holder of Mondelez International, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 23:09 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
Exercise / conversionClass A Common Stock | 29,340 | $19.08 | $559,692.77 |
DisclosureSEC source: 0001209191-19-010751 · doc4.xml · nonDerivative · entry 1 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,700 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: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 22, 2013 and expire on February 21, 2020. Read SEC document |
| February 05, 2019 Filed Feb 6, 2020 21:47 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleClass A Common Stock | 1,806,060 | $57.95 | $104,666,595.18 |
DisclosureSEC source: 0001209191-20-007181 · doc4.xml · nonDerivative · entry 2 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 15,836,264 F1 · kind: The reduction by Trian Fund Management, L.P. ("Trian Management") in its holdings in Mondelez International, Inc. ("Mondelez International") was solely in connection with the disposition of shares held by a multi-year drawdown fund managed by Trian Management that is set to expire this year. F5 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchases is $57.58 to $58.18. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: Trian Management serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International held by them. F4 · ownership.nature: (FN3, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by Trian Management and the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:08 UTC |
Urdaneta NelsonSVP, Corp. Controller & CAO
|
Exercise / conversionStock Options (right to buy) · Derivative | 7,200 | $0.00 Strike: $15.47 | $0.00 |
DisclosureSEC source: 0001209191-19-007309 · doc4.xml · derivative · entry 3 Urdaneta Nelson · CIK 0001679749 · SVP, Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 7,200 shares Expires 2019-02-20 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_date: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:08 UTC |
Urdaneta NelsonSVP, Corp. Controller & CAO
|
Tax withholdingClass A Common Stock | 3,940 | $46.11 | $181,673.40 |
DisclosureSEC source: 0001209191-19-007309 · doc4.xml · nonDerivative · entry 2 Urdaneta Nelson · CIK 0001679749 · SVP, Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,620 F1 · shares: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| February 04, 2019 Filed Feb 5, 2019 21:08 UTC |
Urdaneta NelsonSVP, Corp. Controller & CAO
|
Exercise / conversionClass A Common Stock | 7,200 | $15.47 | $111,398.40 |
DisclosureSEC source: 0001209191-19-007309 · doc4.xml · nonDerivative · entry 1 Urdaneta Nelson · CIK 0001679749 · SVP, Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,560 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: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| February 04, 2019 Filed Feb 6, 2020 21:47 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleClass A Common Stock | 1,177,012 | $57.67 | $67,883,343.19 |
DisclosureSEC source: 0001209191-20-007181 · doc4.xml · nonDerivative · entry 1 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 17,642,324 F1 · kind: The reduction by Trian Fund Management, L.P. ("Trian Management") in its holdings in Mondelez International, Inc. ("Mondelez International") was solely in connection with the disposition of shares held by a multi-year drawdown fund managed by Trian Management that is set to expire this year. F2 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchases is $57.315 to $57.98. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: Trian Management serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International held by them. F4 · ownership.nature: (FN3, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by Trian Management and the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 21:07 UTC |
Gruber Vinzenz P.EVP and President, Europe
|
SaleClass A Common Stock | 10,945 | $45.86 | $501,937.70 |
DisclosureSEC source: 0001209191-19-007304 · doc4.xml · nonDerivative · entry 1 Gruber Vinzenz P. · CIK 0001761351 · EVP and President, Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,584 Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 21:09 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Exercise / conversionStock Options (right to buy) · Derivative | 15,880 | $0.00 Strike: $15.47 | $0.00 |
DisclosureSEC source: 0001209191-19-006398 · doc4.xml · derivative · entry 6 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 15,880 shares Expires 2019-02-20 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_date: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 21:09 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Tax withholdingClass A Common Stock | 8,409 | $46.26 | $389,000.34 |
DisclosureSEC source: 0001209191-19-006398 · doc4.xml · nonDerivative · entry 4 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,078 F1 · shares: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 21:09 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Exercise / conversionClass A Common Stock | 15,880 | $15.47 | $245,695.36 |
DisclosureSEC source: 0001209191-19-006398 · doc4.xml · nonDerivative · entry 3 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,487 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: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 21:09 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Exercise / conversionStock Options (right to buy) · Derivative | 15,880 | $0.00 Strike: $15.47 | $0.00 |
DisclosureSEC source: 0001209191-19-006398 · doc4.xml · derivative · entry 5 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,880 Underlying: Class A Common Stock · 15,880 shares Expires 2019-02-20 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_date: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 21:09 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Tax withholdingClass A Common Stock | 8,726 | $43.81 | $382,286.06 |
DisclosureSEC source: 0001209191-19-006398 · doc4.xml · nonDerivative · entry 2 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,607 F1 · shares: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 21:09 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Exercise / conversionClass A Common Stock | 15,880 | $15.47 | $245,695.36 |
DisclosureSEC source: 0001209191-19-006398 · doc4.xml · nonDerivative · entry 1 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 404,333 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: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| November 20, 2018 Filed Nov 21, 2018 12:09 UTC |
Van de Put DirkDirector · Chief Executive Officer
|
Tax withholdingClass A Common Stock | 45,491 | $43.69 | $1,987,501.79 |
DisclosureSEC source: 0001209191-18-059617 · doc4.xml · nonDerivative · entry 1 Van de Put Dirk · CIK 0001536137 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,360 F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of deferred stock units granted under the Issuer's Amended and Restated 2005 Performance Incentive Plan. Read SEC document |
| October 30, 2018 Filed Nov 1, 2018 20:07 UTC |
Cofer Timothy P.EVP & Chief Growth Officer
|
Tax withholdingClass A Common Stock | 47,986 | $42.12 | $2,021,170.32 |
DisclosureSEC source: 0001209191-18-056752 · doc4.xml · nonDerivative · entry 1 Cofer Timothy P. · CIK 0001526722 · EVP & Chief Growth Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,453 F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of deferred stock units granted under the Issuer's Amended and Restated 2005 Performance Incentive Plan. Read SEC document |
| September 14, 2018 Filed Sep 18, 2018 20:05 UTC |
Brusadelli MaurizioEVP and President AMEA
|
Exercise / conversionStock Options (right to buy) · Derivative | 11,680 | $0.00 Strike: $15.47 | $0.00 |
DisclosureSEC source: 0001209191-18-051424 · doc4.xml · derivative · entry 3 Brusadelli Maurizio · CIK 0001660980 · EVP and President AMEA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 11,680 shares Expires 2019-02-20 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_date: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the sales of securities in payment of the exercise price, taxes and fees. Read SEC document |
| September 14, 2018 Filed Sep 18, 2018 20:05 UTC |
Brusadelli MaurizioEVP and President AMEA
|
SaleClass A Common Stock | 7,381 | $43.74 | $322,844.94 |
DisclosureSEC source: 0001209191-18-051424 · doc4.xml · nonDerivative · entry 2 Brusadelli Maurizio · CIK 0001660980 · EVP and President AMEA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,578 F1 · shares: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the sales of securities in payment of the exercise price, taxes and fees. Read SEC document |
| September 14, 2018 Filed Sep 18, 2018 20:05 UTC |
Brusadelli MaurizioEVP and President AMEA
|
Exercise / conversionClass A Common Stock | 11,680 | $15.47 | $180,712.96 |
DisclosureSEC source: 0001209191-18-051424 · doc4.xml · nonDerivative · entry 1 Brusadelli Maurizio · CIK 0001660980 · EVP and President AMEA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,959 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: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the sales of securities in payment of the exercise price, taxes and fees. Read SEC document |
| September 12, 2018 Filed Sep 12, 2018 21:15 UTC |
Myers Daniel P.EVP, Integrated Supply Chain
|
SaleClass A Common Stock | 27,963 | $43.44 | $1,214,712.72 |
DisclosureSEC source: 0001209191-18-050664 · doc4.xml · nonDerivative · entry 1 Myers Daniel P. · CIK 0001526896 · EVP, Integrated Supply Chain 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 86,025 F1 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.431 to $43.46, inclusive. The reporting person undertakes to provide to Mondelez International, Inc., any security holder of Mondelez International, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. F2 · balance_after: Since the date of Mr. Myers' last ownership report, he transferred 16,992 shares of Mondelez International common stock from a directly owned account to a revocable trust account. Read SEC document |
| September 05, 2018 Filed Sep 7, 2018 20:03 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
Exercise / conversionStock Options (right to buy) · Derivative | 27,520 | $0.00 Strike: $15.47 | $0.00 |
DisclosureSEC source: 0001209191-18-050032 · doc4.xml · derivative · entry 3 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 27,520 shares Expires 2019-02-20 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_date: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| September 05, 2018 Filed Sep 7, 2018 20:03 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
Tax withholdingClass A Common Stock | 17,646 | $43.49 | $767,424.54 |
DisclosureSEC source: 0001209191-18-050032 · doc4.xml · nonDerivative · entry 2 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,360 F1 · shares: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| September 05, 2018 Filed Sep 7, 2018 20:03 UTC |
Pleuhs Gerhard W.EVP & General Counsel
|
Exercise / conversionClass A Common Stock | 27,520 | $15.47 | $425,789.44 |
DisclosureSEC source: 0001209191-18-050032 · doc4.xml · nonDerivative · entry 1 Pleuhs Gerhard W. · CIK 0001251844 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,006 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: This Form 4 is being filed to report the exercise of stock options that became 100% exercisable on February 17, 2012 and expire on February 20, 2019, and to report the surrender of securities in payment of the exercise price and taxes. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 20:07 UTC |
Zaramella LucaEVP & Chief Financial Officer
|
GrantStock Options (right to buy) · Derivative | 29,190 | $0.00 Strike: $42.83 | $0.00 |
DisclosureSEC source: 0001209191-18-044927 · doc4.xml · derivative · entry 1 Zaramella Luca · CIK 0001622077 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,190 Underlying: Class A Common Stock · 29,190 shares Expires 2028-08-01 F1 · derivative.exercise_date: Options vest in three annual installments as follows: 33% on August 1, 2019; 33% on August 1, 2020; and 34% on August 1, 2021. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 20:18 UTC |
Alviti PauletteEVP, Human Resources
|
GrantStock Options (right to buy) · Derivative | 46,610 | $0.00 Strike: $40.23 | $0.00 |
DisclosureSEC source: 0001209191-18-037456 · doc4.xml · derivative · entry 2 Alviti Paulette · CIK 0001578438 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,610 Underlying: Class A Common Stock · 46,610 shares Expires 2028-06-09 F2 · derivative.exercise_date: Options vest in three annual installments as follows: 33% on June 11, 2019; 33% on June 11, 2020; and 34% on June 11, 2021. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 20:18 UTC |
Alviti PauletteEVP, Human Resources
|
GrantClass A Common Stock | 36,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-037456 · doc4.xml · nonDerivative · entry 1 Alviti Paulette · CIK 0001578438 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,050 F1 · shares: Deferred stock units awarded under the Issuer's Amended and Restated 2005 Performance Incentive Plan. Deferred stock units will vest as follows: 50% on June 11, 2019 and 50% on June 11, 2020. Read SEC document |
| May 16, 2018 Filed May 18, 2018 09:06 UTC |
NEUBAUER JOSEPHDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031273 · doc4.xml · nonDerivative · entry 1 NEUBAUER JOSEPH · CIK 0000905129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,700 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 563 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:02 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031268 · doc4.xml · nonDerivative · entry 1 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,437 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 5 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:10 UTC |
van Boxmeer Jean Francois M LDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031277 · doc4.xml · nonDerivative · entry 1 van Boxmeer Jean Francois M L · CIK 0001480144 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,987 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 2,489 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:08 UTC |
Shi Christiana SmithDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031275 · doc4.xml · nonDerivative · entry 1 Shi Christiana Smith · CIK 0001529495 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,836 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 281 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:09 UTC |
Siewert PatrickDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031276 · doc4.xml · nonDerivative · entry 1 Siewert Patrick · CIK 0001324047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,075 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 1,428 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:07 UTC |
Reynolds FredricDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031274 · doc4.xml · nonDerivative · entry 1 Reynolds Fredric G · CIK 0001347950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,160 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 2,873 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:05 UTC |
Mesquita Jorge S.Director
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031272 · doc4.xml · nonDerivative · entry 1 Mesquita Jorge S. · CIK 0001547344 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,774 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 1,505 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:04 UTC |
KETCHUM MARK DDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031271 · doc4.xml · nonDerivative · entry 1 KETCHUM MARK D · CIK 0001180783 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,400 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 6,495 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:03 UTC |
JULIBER LOIS DDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031270 · doc4.xml · nonDerivative · entry 1 JULIBER LOIS D · CIK 0001127294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,084 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 5,314 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:03 UTC |
Crew Debra AnnDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031269 · doc4.xml · nonDerivative · entry 1 Crew Debra Ann · CIK 0001594085 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,797 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 5 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:02 UTC |
BUNCH CHARLES EDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031267 · doc4.xml · nonDerivative · entry 1 BUNCH CHARLES E · CIK 0001242243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,220 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 171 shares acquired through a dividend reinvestment program. Read SEC document |
| May 16, 2018 Filed May 18, 2018 13:00 UTC |
BOOTH LEWIS W KDirector
|
GrantClass A Common Stock | 4,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031266 · doc4.xml · nonDerivative · entry 1 BOOTH LEWIS W K · CIK 0001191527 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,829 F1 · shares: Grant of deferred stock units under the Issuer's Amended and Restated 2005 Performance Incentive Plan. The deferred stock units are 100% vested, but receipt of the shares is deferred until the six-month anniversary of the reporting person's separation from service as a director of Mondelez International. F2 · balance_after: Total number of shares owned includes 1,415 shares acquired through a dividend reinvestment program. Read SEC document |
| March 09, 2018 Filed Mar 9, 2018 21:16 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
PurchaseClass A Common Stock | 1,028,600 | $44.27 | $45,537,562.04 |
DisclosureSEC source: 0001209191-18-018482 · doc4.xml · nonDerivative · entry 1 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 18,801,262 F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchases is $44.155 to $44.395. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherEquity Swap · Derivative | 5,659 | Not disclosed Strike: $43.61 | Not disclosed |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · derivative · entry 14 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 0 Underlying: Class A Common Stock · 5,659 shares Expires 2020-01-21 F4 · derivative.exercise_price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F4 · derivative.exercise_date: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_date: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherEquity Swap · Derivative | 261,953 | Not disclosed Strike: $43.61 | Not disclosed |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · derivative · entry 13 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 0 Underlying: Class A Common Stock · 261,953 shares Expires 2020-01-21 F4 · derivative.exercise_price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F4 · derivative.exercise_date: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_date: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherEquity Swap · Derivative | 915,985 | Not disclosed Strike: $43.61 | Not disclosed |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · derivative · entry 12 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 0 Underlying: Class A Common Stock · 915,985 shares Expires 2020-01-21 F4 · derivative.exercise_price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F4 · derivative.exercise_date: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_date: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherEquity Swap · Derivative | 182,189 | Not disclosed Strike: $43.61 | Not disclosed |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · derivative · entry 11 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 0 Underlying: Class A Common Stock · 182,189 shares Expires 2020-01-21 F4 · derivative.exercise_price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F4 · derivative.exercise_date: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · derivative.exercise_date: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherClass A Common Stock | 5,659 | $43.61 | $246,788.99 |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · nonDerivative · entry 9 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 17,772,662 F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherClass A Common Stock | 5,659 | $27.99 | $158,372.77 |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · nonDerivative · entry 8 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 17,778,321 F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherClass A Common Stock | 261,953 | $43.61 | $11,423,770.33 |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · nonDerivative · entry 7 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 17,772,662 F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 22:43 UTC |
MAY PETER WDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherClass A Common Stock | 261,953 | $27.96 | $7,324,494.03 |
DisclosureSEC source: 0001209191-18-018183 · doc4.xml · nonDerivative · entry 6 MAY PETER W · CIK 0000928264 · Director TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 18,034,615 F1 · kind: Represents the sale of shares and the unwinding of equity swaps by two investment funds in connection with the winding up of such investment funds following the expiration of their respective lock-up periods. The shares and the swaps were the sole holdings of the investment funds and were acquired in 2013. F4 · price: SPV VII-L previously entered into the equity swap agreements with a counterparty (collectively, the "Swap") with respect to an aggregate of 1,365,786 shares of Mondelez International. Under the terms of the Swap, on each settlement date applicable to the expiration or earlier termination of such Swap (each a "Settlement Date"): (i) SPV VII-L was obligated to pay to the counterparty any negative price performance (capital depreciation) of the reference shares as of such Settlement Date and (ii) the counterparty was obligated to pay to SPV VII-L any positive price performance (capital appreciation) over (a) $27.8084 with respect to 182,189 reference shares,(b) $28.0233 with respect to 915,985 reference shares, F5 · price: (FN4, contd) (c) $27.9611 with respect to 261,953 reference shares and (d) $27.986 with respect to 5,659 reference shares (in each case plus a $0.03 commission) as of such Settlement Date plus any dividends paid during the life of the Swap. In addition, on each Settlement Date, SPV VII-L was obligated to pay to the counterparty a financing fee through such date at the rate set forth in the Swap. On March 6, 2018 the Swap was unwound in accordance with its terms at the noted prices per share. In addition, on each Settlement Date the counterparty paid to SPV VII-L an amount equal to the dividends paid on the reference shares during the term of the Swap and SPV VII-L paid to the counterparty the applicable financing fee. At no time during the Swap did Trian SPV VII-L ever hold any of the reference shares or have any voting or dispositive power over the reference shares F2 · ownership.nature: Trian Fund Management, Inc. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment, Fund-D, L.P., Trian Partners Strategic Investment Fund N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners SPV (SUB) VII, L.P., and Trian SPV (Sub) VII-L, L.P. ("SPV VII-L" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of Mondelez International, Inc. ("Mondelez International") held by them. F3 · ownership.nature: (FN2, contd.) Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. May and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. May is a director of Mondelez International. 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.