Last 12 months
Inside the activity.
1 purchase rows · 8 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 | 1 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 4 |
| Sep 2026 | 0 | 2 |
| 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 |
|---|---|---|---|---|---|---|
| June 29, 2018 Filed Jul 2, 2018 21:10 UTC |
Grade Joel T.EVP and CFO
|
SaleCommon Stock | 17,438 | $68.36 | $1,192,061.68 |
DisclosureSEC source: 0000096021-18-000115 · edgar.xml · nonDerivative · entry 2 Grade Joel T. · CIK 0001602507 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,429.17 F1 · kind: The exercise and sale were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported is a weighted average sale price per share of the 17,438 shares sold on this date. These shares were sold in multiple transactions at prices ranging from $68.05 to $68.63. The Reporting Person undertakes to provide to Sysco Corporation, any security holder of Sysco Corporation, 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 ranges set forth in the footnote to this Form 4. Read SEC document |
| June 29, 2018 Filed Jul 2, 2018 21:10 UTC |
Grade Joel T.EVP and CFO
|
Exercise / conversionCommon Stock | 17,438 | $29.96 | $522,442.48 |
DisclosureSEC source: 0000096021-18-000115 · edgar.xml · nonDerivative · entry 1 Grade Joel T. · CIK 0001602507 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,867.17 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: The exercise and sale were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 21:38 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantCommon Stock | 91 | $68.35 | $6,219.85 |
DisclosureSEC source: 0001209191-18-040077 · doc4.xml · nonDerivative · entry 2 PELTZ NELSON · CIK 0000928265 · 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: 4,930 F2 · shares: Represents company match equal to 50% of shares described in Footnote 1. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 21:38 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantCommon Stock | 182 | $68.35 | $12,439.70 |
DisclosureSEC source: 0001209191-18-040077 · doc4.xml · nonDerivative · entry 1 PELTZ NELSON · CIK 0000928265 · 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: 4,839 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:00 UTC |
TILGHMAN RICHARD GDirector
|
SaleCommon Stock | 5,000 | $66.44 | $332,200.00 |
DisclosureSEC source: 0000096021-18-000091 · edgar.xml · nonDerivative · entry 1 TILGHMAN RICHARD G · CIK 0001076552 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,864.028 F1 · shares: The sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:15 UTC |
Frank Joshua D.Director
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleCommon Stock | 622,882 | $66.17 | $41,217,285.42 |
DisclosureSEC source: 0001209191-18-037847 · doc4.xml · nonDerivative · entry 3 Frank Joshua D. · CIK 0001422599 · 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: 42,552,389 F1 · kind: The sales reported in this Form 4 was done for portfolio management purposes. F6 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $65.9801 to $66.53. The Reporting Person 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 Fund Management, L.P. ("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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F4 · ownership.nature: (FN 3, contd.) Mr. Frank is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Frank is a director of the Issuer. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:15 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleCommon Stock | 622,882 | $66.17 | $41,217,285.42 |
DisclosureSEC source: 0001209191-18-037846 · doc4.xml · nonDerivative · entry 3 PELTZ NELSON · CIK 0000928265 · 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: 42,552,389 F1 · kind: The sales reported in this Form 4 was done for portfolio management purposes. F6 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $65.9801 to $66.53. The Reporting Person 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 Fund Management, L.P. ("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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F4 · ownership.nature: (FN 3, contd.) Mr. Peltz 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. Peltz 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. Peltz is a director of the Issuer. Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 22:15 UTC |
Frank Joshua D.Director
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleCommon Stock | 853,133 | $66.12 | $56,408,300.83 |
DisclosureSEC source: 0001209191-18-037847 · doc4.xml · nonDerivative · entry 2 Frank Joshua D. · CIK 0001422599 · 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: 43,175,271 F1 · kind: The sales reported in this Form 4 was done for portfolio management purposes. F5 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $65.88 to $66.345. The Reporting Person 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 Fund Management, L.P. ("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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F4 · ownership.nature: (FN 3, contd.) Mr. Frank is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Frank is a director of the Issuer. Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 22:15 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleCommon Stock | 853,133 | $66.12 | $56,408,300.83 |
DisclosureSEC source: 0001209191-18-037846 · doc4.xml · nonDerivative · entry 2 PELTZ NELSON · CIK 0000928265 · 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: 43,175,271 F1 · kind: The sales reported in this Form 4 was done for portfolio management purposes. F5 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $65.88 to $66.345. The Reporting Person 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 Fund Management, L.P. ("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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F4 · ownership.nature: (FN 3, contd.) Mr. Peltz 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. Peltz 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. Peltz is a director of the Issuer. Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 22:15 UTC |
Frank Joshua D.Director
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleCommon Stock | 802,924 | $66.15 | $53,111,816.75 |
DisclosureSEC source: 0001209191-18-037847 · doc4.xml · nonDerivative · entry 1 Frank Joshua D. · CIK 0001422599 · 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: 44,028,404 F1 · kind: The sales reported in this Form 4 was done for portfolio management purposes. F2 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $65.945 to $66.61. The Reporting Person 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 Fund Management, L.P. ("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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F4 · ownership.nature: (FN 3, contd.) Mr. Frank is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Frank is a director of the Issuer. Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 22:15 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
SaleCommon Stock | 802,924 | $66.15 | $53,111,816.75 |
DisclosureSEC source: 0001209191-18-037846 · doc4.xml · nonDerivative · entry 1 PELTZ NELSON · CIK 0000928265 · 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: 44,028,404 F1 · kind: The sales reported in this Form 4 was done for portfolio management purposes. F2 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $65.945 to $66.61. The Reporting Person 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 Fund Management, L.P. ("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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F4 · ownership.nature: (FN 3, contd.) Mr. Peltz 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. Peltz 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. Peltz is a director of the Issuer. Read SEC document |
| May 25, 2018 Filed May 29, 2018 21:02 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionStock Options (Right to buy) · Derivative | 15,333 | $0.00 Strike: $29.96 | $0.00 |
DisclosureSEC source: 0000096021-18-000089 · edgar.xml · derivative · entry 3 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,333 shares Expires 2019-11-13 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Options granted by the Compensation Committee of the company's Board of Directors pursuant to the 2007 Stock Incentive Plan, as amended. F2 · derivative.exercise_date: Options are fully exercisable. Read SEC document |
| May 25, 2018 Filed May 29, 2018 21:02 UTC |
Moskowitz Paul TExecutive Vice President
|
SaleCommon Stock | 15,333 | $65.00 | $996,645.00 |
DisclosureSEC source: 0000096021-18-000089 · edgar.xml · nonDerivative · entry 2 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,995.46 F1 · kind: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 25, 2018 Filed May 29, 2018 21:02 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionCommon Stock | 15,333 | $29.96 | $459,376.68 |
DisclosureSEC source: 0000096021-18-000089 · edgar.xml · nonDerivative · entry 1 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,328.46 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:04 UTC |
TILGHMAN RICHARD GDirector
|
SaleCommon Stock | 5,000 | $62.65 | $313,250.00 |
DisclosureSEC source: 0000096021-18-000087 · edgar.xml · nonDerivative · entry 1 TILGHMAN RICHARD G · CIK 0001076552 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,864.028 F1 · shares: The sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 07, 2018 Filed May 9, 2018 21:04 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionStock Options (Right to buy) · Derivative | 15,333 | $0.00 Strike: $29.96 | $0.00 |
DisclosureSEC source: 0000096021-18-000085 · edgar.xml · derivative · entry 3 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,333 Underlying: Common Stock · 15,333 shares Expires 2019-11-13 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Options granted by the Compensation Committee of the company's Board of Directors pursuant to the 2007 Stock Incentive Plan, as amended. F2 · derivative.exercise_date: Options are fully exercisable. Read SEC document |
| May 07, 2018 Filed May 9, 2018 21:04 UTC |
Moskowitz Paul TExecutive Vice President
|
SaleCommon Stock | 15,333 | $64.00 | $981,312.00 |
DisclosureSEC source: 0000096021-18-000085 · edgar.xml · nonDerivative · entry 2 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,995.46 F1 · kind: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 07, 2018 Filed May 9, 2018 21:04 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionCommon Stock | 15,333 | $29.96 | $459,376.68 |
DisclosureSEC source: 0000096021-18-000085 · edgar.xml · nonDerivative · entry 1 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,328.46 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 18, 2018 Filed Apr 19, 2018 21:00 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionStock Options (Right to buy) · Derivative | 15,333 | $0.00 Strike: $29.96 | $0.00 |
DisclosureSEC source: 0000096021-18-000078 · edgar.xml · derivative · entry 6 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,666 Underlying: Common Stock · 15,333 shares Expires 2019-11-13 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Options granted by the Compensation Committee of the company's Board of Directors pursuant to the 2007 Stock Incentive Plan, as amended. F2 · derivative.exercise_date: Options are fully exercisable. Read SEC document |
| April 18, 2018 Filed Apr 19, 2018 21:00 UTC |
Moskowitz Paul TExecutive Vice President
|
SaleCommon Stock | 15,333 | $63.00 | $965,979.00 |
DisclosureSEC source: 0000096021-18-000078 · edgar.xml · nonDerivative · entry 4 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,995.46 F1 · kind: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 18, 2018 Filed Apr 19, 2018 21:00 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionCommon Stock | 15,333 | $29.96 | $459,376.68 |
DisclosureSEC source: 0000096021-18-000078 · edgar.xml · nonDerivative · entry 3 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,328.46 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 17, 2018 Filed Apr 19, 2018 21:00 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionStock Options (Right to buy) · Derivative | 15,334 | $0.00 Strike: $29.96 | $0.00 |
DisclosureSEC source: 0000096021-18-000078 · edgar.xml · derivative · entry 5 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,999 Underlying: Common Stock · 15,334 shares Expires 2019-11-13 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Options granted by the Compensation Committee of the company's Board of Directors pursuant to the 2007 Stock Incentive Plan, as amended. F2 · derivative.exercise_date: Options are fully exercisable. Read SEC document |
| April 17, 2018 Filed Apr 19, 2018 21:00 UTC |
Moskowitz Paul TExecutive Vice President
|
SaleCommon Stock | 15,334 | $62.00 | $950,708.00 |
DisclosureSEC source: 0000096021-18-000078 · edgar.xml · nonDerivative · entry 2 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,995.46 F1 · kind: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 17, 2018 Filed Apr 19, 2018 21:00 UTC |
Moskowitz Paul TExecutive Vice President
|
Exercise / conversionCommon Stock | 15,334 | $29.96 | $459,406.64 |
DisclosureSEC source: 0000096021-18-000078 · edgar.xml · nonDerivative · entry 1 Moskowitz Paul T · CIK 0001403632 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,329.46 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: The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:10 UTC |
TILGHMAN RICHARD GDirector
|
SaleCommon Stock | 5,000 | $60.62 | $303,100.00 |
DisclosureSEC source: 0000096021-18-000076 · edgar.xml · nonDerivative · entry 1 TILGHMAN RICHARD G · CIK 0001076552 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,864.028 F1 · shares: The sales were effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:23 UTC |
Frank Joshua D.Director
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0001209191-18-022213 · doc4.xml · nonDerivative · entry 2 Frank Joshua D. · CIK 0001422599 · 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: 4,657 F2 · shares: Represents company match equal to 50% of shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:23 UTC |
Frank Joshua D.Director
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0001209191-18-022213 · doc4.xml · nonDerivative · entry 1 Frank Joshua D. · CIK 0001422599 · 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: 4,553 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:22 UTC |
WARD JACKIE MDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000071 · edgar.xml · nonDerivative · entry 2 WARD JACKIE M · CIK 0001086247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,694.37 F2 · shares: Represents company match equal to 50% of the 208 shares described in Footnote 1. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:22 UTC |
WARD JACKIE MDirector
|
GrantCommon Stock | 2,396 | $59.96 | $143,664.16 |
DisclosureSEC source: 0000096021-18-000071 · edgar.xml · nonDerivative · entry 1 WARD JACKIE M · CIK 0001086247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,590.37 F1 · shares: Represents shares elected to be received in lieu of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan, including 208 shares to be received in lieu of the base retainer. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:20 UTC |
TILGHMAN RICHARD GDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000069 · edgar.xml · nonDerivative · entry 2 TILGHMAN RICHARD G · CIK 0001076552 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,864.03 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:20 UTC |
TILGHMAN RICHARD GDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000069 · edgar.xml · nonDerivative · entry 1 TILGHMAN RICHARD G · CIK 0001076552 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,760.03 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:18 UTC |
Talton SheilaDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000067 · edgar.xml · nonDerivative · entry 2 Talton Sheila · CIK 0001490478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,943.15 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:18 UTC |
Talton SheilaDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000067 · edgar.xml · nonDerivative · entry 1 Talton Sheila · CIK 0001490478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,839.15 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:16 UTC |
SHIRLEY EDWARD DDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000065 · edgar.xml · nonDerivative · entry 2 SHIRLEY EDWARD D · CIK 0001203097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,367 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:16 UTC |
SHIRLEY EDWARD DDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000065 · edgar.xml · nonDerivative · entry 1 SHIRLEY EDWARD D · CIK 0001203097 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,263 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:13 UTC |
Newcomb NancyDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000063 · edgar.xml · nonDerivative · entry 2 Newcomb Nancy · CIK 0001317717 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,979 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:13 UTC |
Newcomb NancyDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000063 · edgar.xml · nonDerivative · entry 1 Newcomb Nancy · CIK 0001317717 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,875 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:10 UTC |
Koerber Hans-JoachimDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000061 · edgar.xml · nonDerivative · entry 2 Koerber Hans-Joachim · CIK 0001422763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,345.07 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:10 UTC |
Koerber Hans-JoachimDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000061 · edgar.xml · nonDerivative · entry 1 Koerber Hans-Joachim · CIK 0001422763 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,241.07 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:07 UTC |
Halverson Bradley MDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000059 · edgar.xml · nonDerivative · entry 2 Halverson Bradley M · CIK 0001307061 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,367 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:07 UTC |
Halverson Bradley MDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000059 · edgar.xml · nonDerivative · entry 1 Halverson Bradley M · CIK 0001307061 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,263 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:05 UTC |
GLASSCOCK LARRY CDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000057 · edgar.xml · nonDerivative · entry 2 GLASSCOCK LARRY C · CIK 0001189793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,320.4 F2 · shares: Represents company match equal to 50% of the 208 shares described in Footnote 1. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:05 UTC |
GLASSCOCK LARRY CDirector
|
GrantCommon Stock | 249 | $59.96 | $14,930.04 |
DisclosureSEC source: 0000096021-18-000057 · edgar.xml · nonDerivative · entry 1 GLASSCOCK LARRY C · CIK 0001189793 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,216.4 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan, including 208 shares to be received in lieu of the base retainer. The receipt of these shares has been deferred pursuant to the 2009 Board of Directors Stock Deferral Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:02 UTC |
CASSADAY JOHN MDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000055 · edgar.xml · nonDerivative · entry 2 CASSADAY JOHN M · CIK 0001308732 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,470.73 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:02 UTC |
CASSADAY JOHN MDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000055 · edgar.xml · nonDerivative · entry 1 CASSADAY JOHN M · CIK 0001308732 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,366.73 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:00 UTC |
Brutto Daniel JDirector
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0000096021-18-000053 · edgar.xml · nonDerivative · entry 2 Brutto Daniel J · CIK 0001415303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,978.08 F2 · shares: Represents company match equal to 50% of the shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:00 UTC |
Brutto Daniel JDirector
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0000096021-18-000053 · edgar.xml · nonDerivative · entry 1 Brutto Daniel J · CIK 0001415303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,874.08 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:22 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantCommon Stock | 104 | $59.96 | $6,235.84 |
DisclosureSEC source: 0001209191-18-022212 · doc4.xml · nonDerivative · entry 2 PELTZ NELSON · CIK 0000928265 · 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: 4,657 F2 · shares: Represents company match equal to 50% of shares described in Footnote 1. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 20:22 UTC |
PELTZ NELSONDirector
TRIAN FUND MANAGEMENT, L.P.Director
|
GrantCommon Stock | 208 | $59.96 | $12,471.68 |
DisclosureSEC source: 0001209191-18-022212 · doc4.xml · nonDerivative · entry 1 PELTZ NELSON · CIK 0000928265 · 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: 4,553 F1 · shares: Represents shares elected to be received in lieu of a portion of non-employee director annual cash retainer fees pursuant to the Sysco Corporation 2013 Long-Term Incentive Plan. Read SEC document |
| March 19, 2018 Filed Mar 20, 2018 22:42 UTC |
Frank Joshua D.Director
TRIAN FUND MANAGEMENT, L.P.Director
|
OtherPut-Call Option (right and obligation to buy) · Derivative | 110,598 | $0.00 Strike: $53.99 | $0.00 |
DisclosureSEC source: 0001209191-18-020980 · doc4.xml · derivative · entry 5 Frank Joshua D. · CIK 0001422599 · 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: Common Stock · 110,598 shares Expires 2019-03-18 F1 · derivative.exercise_price: One of the Trian Entities (as defined below) entered into a series of privately negotiated back-to-back call and put transactions (the "Options") with a counterparty through which it became entitled to the same economic gain or loss as if it had purchased the indicated shares. More specifically, these transactions represented call options pursuant to which, on or prior to March 18, 2019 (the "Exercise Date"), the Trian Entity could acquire the number of shares set forth above at a designated exercise price (the "Exercise Price"). F2 · derivative.exercise_price: (FN 1, contd.) These call options could be exercised at any time, in whole or in part, on or prior to the Exercise Date. Simultaneously with the purchase of each call option, the Trian Entity also sold a put option to the counterparty for the same number of shares pursuant to which, if on the Exercise Date the call options had not been exercised by the Trian Entity and the Exercise Price were greater than the closing price of the shares on the Expiration Date (the "Closing Price"), the counterparty could require the Trian Entity to, at the counterparty's election, either (i) pay the counterparty an amount in cash equal to the product of (a) the excess of the Exercise Price over the Closing Price and (b) the number of shares set forth above or (ii) acquire from the counterparty the number of shares set forth above at the Exercise Price. With the exercise of any call option, a corresponding number of put options would be automatically terminated. F3 · derivative.exercise_price: (FN 2, contd.) As part of these transactions, the Trian Entity paid the counterparty a financing fee based on the number of days that the Options that it held were outstanding, which fee was calculated using a monthly rate equal to one month LIBOR plus an applicable spread. No premium was paid by either of the parties in connection with the Options. Until exercised, the Options did not give the Trian Entity any direct or indirect voting, investment or dispositive control over the underlying shares. F8 · derivative.exercise_price: The put-call option was previously reported at an exercise price of $54.0584 but, in accordance with the terms of the underlying agreements, the exercise price was adjusted to reflect any dividends paid with respect to the indicated shares and the financing fee paid to the counterparty. F1 · derivative.exercise_date: One of the Trian Entities (as defined below) entered into a series of privately negotiated back-to-back call and put transactions (the "Options") with a counterparty through which it became entitled to the same economic gain or loss as if it had purchased the indicated shares. More specifically, these transactions represented call options pursuant to which, on or prior to March 18, 2019 (the "Exercise Date"), the Trian Entity could acquire the number of shares set forth above at a designated exercise price (the "Exercise Price"). F2 · derivative.exercise_date: (FN 1, contd.) These call options could be exercised at any time, in whole or in part, on or prior to the Exercise Date. Simultaneously with the purchase of each call option, the Trian Entity also sold a put option to the counterparty for the same number of shares pursuant to which, if on the Exercise Date the call options had not been exercised by the Trian Entity and the Exercise Price were greater than the closing price of the shares on the Expiration Date (the "Closing Price"), the counterparty could require the Trian Entity to, at the counterparty's election, either (i) pay the counterparty an amount in cash equal to the product of (a) the excess of the Exercise Price over the Closing Price and (b) the number of shares set forth above or (ii) acquire from the counterparty the number of shares set forth above at the Exercise Price. With the exercise of any call option, a corresponding number of put options would be automatically terminated. F3 · derivative.exercise_date: (FN 2, contd.) As part of these transactions, the Trian Entity paid the counterparty a financing fee based on the number of days that the Options that it held were outstanding, which fee was calculated using a monthly rate equal to one month LIBOR plus an applicable spread. No premium was paid by either of the parties in connection with the Options. Until exercised, the Options did not give the Trian Entity any direct or indirect voting, investment or dispositive control over the underlying shares. F6 · ownership.direct: 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 Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F7 · ownership.direct: (FN 6, contd.) Mr. Frank is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Frank is a director of the Issuer. F6 · 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 II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Co-Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, 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 Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) XI, L.P., Trian Partners Strategic Fund-K, 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 the Issuer held by them. F7 · ownership.nature: (FN 6, contd.) Mr. Frank is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Frank is a director of the Issuer. 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.