Statement of Changes in Beneficial Ownership (4)
February 18 2020 - 4:56PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
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Harrington Thomas |
2. Issuer Name and Ticker or Trading Symbol
COTT CORP /CN/
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COT
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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)
Chief Executive Officer |
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(Last)
(First)
(Middle)
4221 WEST BOY SCOUT BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/13/2020 |
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(Street)
TAMPA, FL 33607
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Shares | 2/13/2020 | | A | | 30900 (1) | A | $15.82 | 194004 | D | |
| Common Shares | 2/13/2020 | | F | | 12160 (2) | D | $15.82 | 181844 | D | |
| Common Shares | 2/13/2020 | | A | | 100960 (3) | A | $15.82 | 282804 | D | |
| Common Shares | 2/13/2020 | | F | | 30393 (4) | D | $15.82 | 252411 | D | |
| Common Shares | | | | | | | | 132493 (5) | I | By TAH Capital, LLC |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | Represents performance-based RSUs granted to Mr. Harrington on August 11, 2016, which vested on February 13, 2020 as a result of the achievement of the performance criteria. |
| (2) | Represents the number of common shares withheld to satisfy tax obligations due upon the vesting of the performance-based RSUs granted to Mr. Harrington on August 11, 2016. |
| (3) | Represents performance-based RSUs granted to Mr. Harrington on December 6, 2016, which vested on February 13, 2020 as a result of the achievement of the performance criteria. |
| (4) | Represents the number of common shares withheld to satisfy tax obligations due upon the vesting of the performance-based RSUs granted to Mr. Harrington on December 6, 2016. |
| (5) | The reported shares are owned by TAH Capital, LLC, of which Mr. Harrington is the Managing Member. Mr. Harrington disclaims beneficial ownership of the reported shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Harrington is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Harrington Thomas
4221 WEST BOY SCOUT BOULEVARD
TAMPA, FL 33607 |
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| Chief Executive Officer |
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Signatures
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| /s/ Marni Morgan Poe, Attorney-in-Fact | | 2/18/2020 |
| **Signature of Reporting Person | Date |
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