Amended Statement of Changes in Beneficial Ownership (4/a)
December 02 2016 - 4:57PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Day William B.
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2. Issuer Name
and
Ticker or Trading Symbol
SYSCO CORP
[
SYY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Vice President
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(Last)
(First)
(Middle)
1390 ENCLAVE PARKWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/18/2016
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(Street)
HOUSTON, TX 77077
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/20/2016
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/18/2016
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S
(1)
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20500
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D
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$48.87
(2)
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88544
(3)
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D
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Common Stock
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5/18/2016
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M
(4)
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15400
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A
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$27.44
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103944
(3)
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D
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Common Stock
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5/18/2016
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S
(4)
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11756
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D
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$48.93
(5)
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92188
(3)
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D
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Common Stock
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5/18/2016
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M
(4)
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71400
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A
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$28.87
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163588
(3)
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D
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Common Stock
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5/18/2016
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S
(4)
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67937
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D
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$48.87
(6)
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95651
(3)
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D
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Common Stock
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5/18/2016
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F
(7)
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4055
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D
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$49.30
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91596
(3)
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D
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Common Stock
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5/18/2016
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M
(4)
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37500
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A
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$27.65
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129096
(3)
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D
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Common Stock
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5/18/2016
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S
(4)
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37500
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D
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$48.85
(8)
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91596
(3)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2016.
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(
2)
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The price reported is a weighted average sale price of the 20,500 shares sold on this date. These shares were sold in multiple transactions at prices ranging from $48.53 to $49.21. 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.
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(
3)
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On May 20, 2016, the reporting person filed a Form 4 that inadvertently overstated the number of shares of common stock directly beneficially owned by the reporting person in Column 5 of Table I by 34,687 shares. This amendment is being filed to correct the number of shares reported in Column 5. All of the Forms 4 filed by the reporting person between May 20, 2016 and October 4, 2016 similarly overstated the total number of shares directly beneficially owned by the reporting person in Column 5 by 34,687 shares and should be deemed amended by the filing of this amendment. As of the filing of this amendment, the reporting person directly beneficially owns 70,402 shares of common stock.
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(
4)
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The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 2, 2016.
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(
5)
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The price reported is a weighted average sale price of the 11,756 shares sold on this date. These shares were sold in multiple transactions at prices ranging from $48.53 to $49.22. 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.
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(
6)
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The price reported is a weighted average sale price of the 67,937 shares sold on this date. These shares were sold in multiple transactions at prices ranging from $48.52 to $49.22. 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.
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(
7)
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Represents previously-owned shares having a fair market value of $49.30 per share that were delivered by the Reporting Person in payment of the option exercise price.
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(
8)
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The price reported is a weighted average sale price of the 37,500 shares sold on this date. These shares were sold in multiple transactions at prices ranging from $48.52 to $49.20. 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Day William B.
1390 ENCLAVE PARKWAY
HOUSTON, TX 77077
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Executive Vice President
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Signatures
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Gerald W. Clanton, attorney in fact
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12/2/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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