4//SEC Filing
DIEDRICH COFFEE INC 4
Accession 0001181431-10-026141
CIK 0000947661operating
Filed
May 11, 8:00 PM ET
Accepted
May 12, 5:28 PM ET
Size
46.6 KB
Accession
0001181431-10-026141
Insider Transaction Report
Form 4
HEESCHEN PAUL C
Director10% Owner
Transactions
- Disposition from Tender
Common Stock
2010-05-11$35.00/sh−450,000$15,750,000→ 0 total(indirect: By Trust) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−250,000$8,750,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $1.65From: 2001-05-08Exp: 2011-05-08→ Common Stock (250,000 underlying) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−921$32,235→ 0 total - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−321,854$11,264,890→ 0 total(indirect: By D.C.H., L.P.) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−250$8,750→ 0 total(indirect: By Trust) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−70,000$2,450,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $7.40From: 2009-04-29Exp: 2019-04-29→ Common Stock (70,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,750$61,250→ 0 totalExercise: $5.00Exp: 2010-11-08→ Common Stock (1,750 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,250$43,750→ 0 totalExercise: $4.21From: 2003-12-02Exp: 2012-12-02→ Common Stock (1,250 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $4.63From: 2007-03-02Exp: 2016-03-02→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $0.54From: 2010-01-22Exp: 2019-01-22→ Common Stock (15,000 underlying) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−1,508,158$52,785,530→ 0 total(indirect: By Sequoia Enterprises, L.P.) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−1,367,000$47,845,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $1.65From: 2008-08-26Exp: 2018-08-26→ Common Stock (1,367,000 underlying) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−300,000$10,500,000→ 0 total(indirect: By Trust)Exercise: $1.65From: 2008-08-26Exp: 2018-08-26→ Common Stock (300,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−2,000$70,000→ 0 totalExercise: $5.36Exp: 2010-10-20→ Common Stock (2,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,250$43,750→ 0 totalExercise: $4.14From: 2002-12-04Exp: 2011-12-04→ Common Stock (1,250 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $4.65From: 2005-12-06Exp: 2014-12-06→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.58From: 2007-12-12Exp: 2016-12-12→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.58From: 2008-12-11Exp: 2017-12-11→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.74From: 2004-12-02Exp: 2013-12-02→ Common Stock (15,000 underlying)
WF Trust
10% Owner
Transactions
- Disposition from Tender
Common Stock
2010-05-11$35.00/sh−250$8,750→ 0 total(indirect: By Trust) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−300,000$10,500,000→ 0 total(indirect: By Trust)Exercise: $1.65From: 2008-08-26Exp: 2018-08-26→ Common Stock (300,000 underlying) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−1,508,158$52,785,530→ 0 total(indirect: By Sequoia Enterprises, L.P.) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−450,000$15,750,000→ 0 total(indirect: By Trust) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−1,367,000$47,845,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $1.65From: 2008-08-26Exp: 2018-08-26→ Common Stock (1,367,000 underlying) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−70,000$2,450,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $7.40From: 2009-04-29Exp: 2019-04-29→ Common Stock (70,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.74From: 2004-12-02Exp: 2013-12-02→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $4.65From: 2005-12-06Exp: 2014-12-06→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.58From: 2008-12-11Exp: 2017-12-11→ Common Stock (15,000 underlying) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−921$32,235→ 0 total - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−2,000$70,000→ 0 totalExercise: $5.36Exp: 2010-10-20→ Common Stock (2,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,250$43,750→ 0 totalExercise: $4.14From: 2002-12-04Exp: 2011-12-04→ Common Stock (1,250 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,250$43,750→ 0 totalExercise: $4.21From: 2003-12-02Exp: 2012-12-02→ Common Stock (1,250 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $4.63From: 2007-03-02Exp: 2016-03-02→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.58From: 2007-12-12Exp: 2016-12-12→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $0.54From: 2010-01-22Exp: 2019-01-22→ Common Stock (15,000 underlying) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−321,854$11,264,890→ 0 total(indirect: By D.C.H., L.P.) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−250,000$8,750,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $1.65From: 2001-05-08Exp: 2011-05-08→ Common Stock (250,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,750$61,250→ 0 totalExercise: $5.00Exp: 2010-11-08→ Common Stock (1,750 underlying)
Sequoia Enterprises, L.P.
10% Owner
Transactions
- Disposition from Tender
Common Stock
2010-05-11$35.00/sh−450,000$15,750,000→ 0 total(indirect: By Trust) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−250$8,750→ 0 total(indirect: By Trust) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−321,854$11,264,890→ 0 total(indirect: By D.C.H., L.P.) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−70,000$2,450,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $7.40From: 2009-04-29Exp: 2019-04-29→ Common Stock (70,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−2,000$70,000→ 0 totalExercise: $5.36Exp: 2010-10-20→ Common Stock (2,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,250$43,750→ 0 totalExercise: $4.21From: 2003-12-02Exp: 2012-12-02→ Common Stock (1,250 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $0.54From: 2010-01-22Exp: 2019-01-22→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $4.63From: 2007-03-02Exp: 2016-03-02→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.58From: 2008-12-11Exp: 2017-12-11→ Common Stock (15,000 underlying) - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−921$32,235→ 0 total - Disposition from Tender
Common Stock
2010-05-11$35.00/sh−1,508,158$52,785,530→ 0 total(indirect: By Sequoia Enterprises, L.P.) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−300,000$10,500,000→ 0 total(indirect: By Trust)Exercise: $1.65From: 2008-08-26Exp: 2018-08-26→ Common Stock (300,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,750$61,250→ 0 totalExercise: $5.00Exp: 2010-11-08→ Common Stock (1,750 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.74From: 2004-12-02Exp: 2013-12-02→ Common Stock (15,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $3.58From: 2007-12-12Exp: 2016-12-12→ Common Stock (15,000 underlying) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−1,367,000$47,845,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $1.65From: 2008-08-26Exp: 2018-08-26→ Common Stock (1,367,000 underlying) - Disposition from Tender
Warrant to purchase Common Stock
2010-05-11$35.00/sh−250,000$8,750,000→ 0 total(indirect: By Sequoia Enterprises, L.P.)Exercise: $1.65From: 2001-05-08Exp: 2011-05-08→ Common Stock (250,000 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−1,250$43,750→ 0 totalExercise: $4.14From: 2002-12-04Exp: 2011-12-04→ Common Stock (1,250 underlying) - Disposition to Issuer
Employee Stock Option (right to buy)
2010-05-11$35.00/sh−15,000$525,000→ 0 totalExercise: $4.65From: 2005-12-06Exp: 2014-12-06→ Common Stock (15,000 underlying)
Footnotes (9)
- [F1]These securities are owned directly by Mr. Heeschen. At the time of the transaction, Mr. Heeschen was also the Executive Chairman of the Board of Directors of the issuer.
- [F2]These securities are owned directly by Sequoia Enterprises, L.P. ("Sequoia"), a greater than 10% owner of the issuer, and indirectly by Mr. Heeschen, the sole general partner of Sequoia with sole voting and investing power as to all of the shares held by Sequoia.
- [F3]These securities are owned indirectly by Mr. Heeschen as the sole general partner of D.C.H., L.P. ("D.C.H.") with sole voting and investment power as to all of the shares held by D.C.H.
- [F4]These securities are owned directly by WF Trust, a greater than 10% owner of the issuer, and indirectly by Mr. Heeschen as the sole trustee with sole voting and investing power as to all of the shares held by WF Trust.
- [F5]These securities are owned indirectly by Mr. Heeschen as the sole trustee with sole voting and investing power as to all of the shares held by the Paul C. Heeschen Revocable Living Trust.
- [F6]Pursuant to the Agreement and Plan of Merger (the "Agreement"), dated as of December 7, 2009, by and among issuer, Green Mountain Coffee Roasters, Inc. and Pebbles Acquisition Sub, Inc. ("Purchaser"), at the time that Purchaser accepted shares for payment pursuant to the offer contemplated by the Agreement (the "Acceptance Time"), this warrant was canceled and, in exchange, Mr. Heeschen received an amount in cash equal to the excess of $35.00 over the exercise price per share of such warrant, multiplied by the number of shares underlying such warrant.
- [F7]50% of the option vested and became exercisable on October 20, 2001, and 50% of the option vested and became exercisable on October 20, 2002.
- [F8]Pursuant to the Agreement, at the Acceptance Time, this option was canceled and, in exchange, Mr. Heeschen received an amount in cash equal to the excess of $35.00 over the exercise price per share of such option, multiplied by the number of shares underlying such option.
- [F9]50% of the option vested and became exercisable on November 8, 2001, and 50% of the option vested and became exercisable on November 8, 2002.
Documents
Issuer
DIEDRICH COFFEE INC
CIK 0000947661
Entity typeoperating
IncorporatedCA
Related Parties
1- filerCIK 0000947661
Filing Metadata
- Form type
- 4
- Filed
- May 11, 8:00 PM ET
- Accepted
- May 12, 5:28 PM ET
- Size
- 46.6 KB