Statement of Changes in Beneficial Ownership (4)
March 16 2020 - 1:31PM
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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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
*
GOUDIS RICHARD |
2. Issuer Name and Ticker or Trading Symbol
TUPPERWARE BRANDS CORP
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TUP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice Chairman |
(Last)
(First)
(Middle)
C/O TUPPERWARE BRANDS CORPORATION, 14901 S ORANGE BLOSSOM TRAIL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/12/2020 |
(Street)
ORLANDO, FL 32837
(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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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 |
Stock Option | $2.61 (1) | 3/12/2020 | | A | | 1000000 | | 3/12/2023 | 3/11/2030 | Common Stock | 1000000 | $0 | 1000000 | D | |
Performance Units | (2) | 3/12/2020 | | A | | 800000 | | (2) | 3/12/2025 | Common Stock | 800000 | $0 | 800000 | D | |
Explanation of Responses: |
(1) | Exercise price represents 115% of the Issuer's common stock closing price on March 12, 2020 ($2.27 per share). |
(2) | Each performance unit represents a contingent right to receive one share of the Issuer's common stock, upon satisfaction of vesting conditions based on the closing price of the Issuer's common stock as described in the applicable award agreement, filed with the Securities and Exchange Commission as Exhibit 10.2 to Form S-8 on March 12, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GOUDIS RICHARD C/O TUPPERWARE BRANDS CORPORATION 14901 S ORANGE BLOSSOM TRAIL ORLANDO, FL 32837 | X |
| Executive Vice Chairman |
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Signatures
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/s/ Susan C. Chiono, attorney-in-fact for Mr. Goudis | | 3/16/2020 |
**Signature of Reporting Person | Date |
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