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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock | (1) | 03/05/2013 | A | 40,000 (2) | (3) | (4) | Common Stock | (1) | $ 0 | 287,220 | D | ||||
Class B Common Stock | (1) | 03/05/2013 | F | 19,880 (5) | (3) | (4) | Common Stock | (1) | $ 1,282,658 | 267,340 | D | ||||
Class B Common Stock | (1) | (3) | (4) | Common Stock | (1) | 535,178 | I | See Footnote (6) | |||||||
Class B Common Stock | (1) | (3) | (4) | Common Stock | (1) | 535,178 | I | See Footnote (6) | |||||||
Class B Common Stock | (1) | (3) | (4) | Common Stock | (1) | 535,178 | I | See Footnote (6) | |||||||
Class B Common Stock | (1) | (3) | (4) | Common Stock | (1) | 78,596 | I | See Footnote (7) | |||||||
Class B Common Stock | (1) | (3) | (4) | Common Stock | (1) | 78,595 | I | See Footnote (8) | |||||||
Class B Common Stock | (1) | (3) | (4) | Common Stock | (1) | 78,595 | I | See Footnote (8) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARRISON J FRANK III 4100 COCA COLA PLAZA CHARLOTTE, NC 28211 |
X | X | Chairman and CEO |
/s/ J. Frank Harrison, III | 03/07/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Class B Common Stock is convertible into Common Stock, on a share-for-share basis, at any time at the option of the holder. |
(2) | Represents shares delivered upon the vesting of 40,000 performance-based restricted stock units. |
(3) | Immediately. |
(4) | None. |
(5) | Represents shares withheld to satisfy the reporting person's tax liability in connection with the vesting of 40,000 performance-based restricted stock units. |
(6) | Such shares are held directly by one of three family limited partnerships (the "Family LPs"). A family limited liability company (the "Family LLC") holds a general partnership interest in each of the Family LPs. A family trust, of which the reporting person is a co-trustee and beneficiary, holds a membership interest in the Family LLC. A residuary sub-trust, of which the reporting person is a co-trustee and beneficiary, also holds a membership interest in the Family LLC. Two residuary sub-trusts, each of which the reporting person is a co-trustee, also hold membership interests in the Family LLC. The reporting person disclaims beneficial ownership in all of these securities except to the extent of his pecuniary interest therein. |
(7) | Such shares are held directly by a sub-trust of which the reporting person is a co-trustee and beneficiary. |
(8) | Such shares are held directly by a sub-trust of which the reporting person is a co-trustee and certain family members are beneficiaries. The reporting person disclaims beneficial ownership in all of these securities except to the extent of his pecuniary interest therein. |