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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 | ||||||||
Restricted Stock Units (2) | (3) | 06/30/2017 | M | 63,755 | (4) | (4) | Class A common stock | 63,755 | $ 0 | 0 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Macchio Ralph COTY INC. 350 FIFTH AVENUE NEW YORK, NY 10118 |
Chief Scientific Officer |
/s/ Tracy Rapp, Attorney-in-Fact | 07/05/2017 | |
**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) | Represents shares surrendered to the Issuer in connection with the vesting of restricted stock units to satisfy the income tax withholding and remittance obligations of the Reporting Person at a net settlement price equal to the closing price of Class A Common Stock on the New York Stock Exchange on June 30, 2017 of $18.76 and does not represent a sale by the Reporting Person. |
(2) | The transactions represent vesting of restricted stock units upon the Reporting Person's retirement as Chief Scientific Officer of the Issuer. |
(3) | Upon vesting, each Restricted Stock Unit settles for one share of Class A common stock of Coty Inc. |
(4) | On September 25, 2012, the Reporting Person was granted 37,500 restricted stock units, vesting on September 25, 2017. On September 30, 2013, the Reporting Person was granted 37,500 restricted stock units, vesting on September 30, 2018. |
(5) | 11,245 restricted stock units were forfeited by the Reporting Person upon his retirement in accordance with the terms of the Issuer's Equity and Long-Term Incentive Plan. |