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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 | ||||||||
Employee share option (right to buy) | $ 20 | 09/18/2018 | M | 167,000 | (7) | 12/14/2018 | Ordinary shares, no par value | 167,000 | $ 20 | 53,597 | D | ||||
Employee share option (right to buy) | $ 20 | 09/18/2018 | M | 12,920 | (7) | 12/14/2018 | Ordinary share, no par value | 12,920 | $ 20 | 12,920 | I | Held by spouse | |||
Restricted share units | $ 0 | (8) | (9) | Ordinary shares, no par value | 15,923 (10) | 15,923 | D | ||||||||
Restricted share units | $ 0 | (11) | (9) | Ordinary shares, no par value | 4,009 (10) | 4,009 | D | ||||||||
Restricted share units | $ 0 | (12) | (9) | Ordinary shares, no par value | 10,813 (10) | 10,813 | I | Held by spouse | |||||||
Restricted share units | $ 0 | (11) | (9) | Ordinary shares, no par value | 5,012 (10) | 5,012 | I | Held by spouse | |||||||
Restricted share units | $ 0 | (8) | (9) | Ordinary shares, no par value | 3,184 (10) | 3,184 | I | Held by spouse | |||||||
Employee share option (right to buy) | $ 67.52 | (13) | 06/15/2025 | Ordinary shares, no par value | 61,249 | 61,249 | D | ||||||||
Restricted share units | $ 0 | (13) | (9) | Ordinary shares, no par value | 44,431 (10) | 44,431 | D | ||||||||
Restricted share units | $ 0 | (13) | (9) | Ordinary shares, no par value | 7,405 (10) | 7,405 | I | Held by spouse | |||||||
Employee share option (right to buy) | $ 2.6316 | (7) | 10/25/2020 | Ordinary shares, no par value | 165,765 | 165,765 | I | Held by spouse | |||||||
Employee share option (right to buy) | $ 49.88 | (11) | 06/15/2023 | Ordinary shares, no par value | 14,503 | 14,503 | D | ||||||||
Employee share option (right to buy) | $ 47.1 | (8) | 06/15/2022 | Ordinary shares, no par value | 107,604 | 107,604 | D | ||||||||
Employee share option (right to buy) | $ 94.45 | (7) | 06/02/2021 | Ordinary shares, no par value | 89,316 | 89,316 | D | ||||||||
Employee share option (right to buy) | $ 94.45 | (7) | 06/02/2021 | Ordinary shares, no par value | 5,104 | 5,104 | I | Held by spouse | |||||||
Employee share option (right to buy) | $ 62.24 | (7) | 06/03/2020 | Ordinary shares, no par value | 84,219 | 84,219 | D | ||||||||
Employee share option (right to buy) | $ 62.24 | (7) | 06/03/2020 | Ordinary shares, no par value | 12,031 | 12,031 | I | Held by spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kors Michael David 33 KINGSWAY LONDON, X0 WC2B 6UF |
X | Hon Chair & Chief Creative Off |
/s/ Krista A. McDonough, as Attorney-in-Fact for Michael Kors | 09/20/2018 | |
**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) | This amount excludes 95,000 ordinary shares, no par value, held by the Kors LePere Foundation. The reporting person may be deemed to have beneficial ownership of the shares held by the Kors LePere Foundation but does not have a pecuinary interest in such shares. |
(2) | These shares were sold pursuant to a Rule 10b5-1 trading plan. The 10b5-1 trading plan was put in place by the reporting person for estate planning purposes and may result in additional future share sales. The reporting person expects to retain a significant ownership interest in Michael Kors Holdings Limited (the "Company"). |
(3) | The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $72.95 to $73.94. Upon request of the staff of the SEC, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(4) | The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $73.95 to $74.145. Upon request of the staff of the SEC, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(5) | These shares were sold pursuant to a Rule 10b5-1 trading plan. |
(6) | The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $73.08 to $74.06. Upon request of the staff of the SEC, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(7) | Immediately exercisable. |
(8) | Granted on June 15, 2015 pursuant to the Michael Kors Holdings Limited Amended and Restated Omnibus Incentive Plan (the "Incentive Plan"). These securities vest 25% each year on June 15, 2016, 2017, 2018, and 2019, respectively, subject to grantee's continued employment with the Company through the vesting date. |
(9) | The RSUs do not expire. |
(10) | Settlement of this award will be satisfied through the issuance of one ordinary share for each vested RSU. |
(11) | Granted on June 15, 2016 pursuant to the Incentive Plan. These securities vest 25% each year on June 15, 2017, 2018, 2019, and 2020, respectively, subject to grantee's continued employment with the Company through the vesting date unless the grantee is retirement eligible. |
(12) | Granted on June 15, 2017 pursuant to the Incentive Plan. These securities vest 25% each year on June 15, 2018, 2019, 2020, and 2021, respectively, subject to grantee's continued employment with the Company through the vesting date unless the grantee is retirement eligible. |
(13) | Granted on June 15, 2018 pursuant to the Incentive Plan. These securities vest 25% each year on June 15, 2019, 2020, 2021, and 2022, respectively, subject to grantee's continued employment with the Company through the vesting date unless the grantee is retirement eligible. |