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HSY » Topics » Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

This excerpt taken from the HSY 10-K filed Feb 19, 2010.

Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

(a) Information concerning ownership of our voting securities by certain beneficial owners, individual nominees for director, the named executive officers, including persons serving as our Chief Executive Officer and Chief Financial Officer, and executive officers as a group, is set forth in the section entitled “Ownership of the Company’s Securities” in the Proxy Statement, which information is incorporated herein by reference.

 

103

(b) The following table provides information about all of the Company’s equity compensation plans as of December 31, 2009:

Equity Compensation Plan Information

 

Plan Category

   (a)
Number of securities to be issued
upon exercise of outstanding
options, warrants and rights		   (b)
Weighted-average
exercise price of
outstanding options,
warrants and rights		   (c)
Number of securities
remaining available for future
issuance under equity
compensation plans
(excluding securities reflected
in column (a))

Equity compensation plans approved by security holders(1)

   17,375,839   $ 41.39   9,161,031

Equity compensation plans not approved by security holders(2)

   854,600   $ 46.44   1,239,184
         

Total

   18,230,439   $ 41.63   10,400,215
         

 

(1) Column (a) includes stock options granted under the stockholder-approved EICP. The securities available for future issuances in column (c) are not allocated to any specific type of award under the EICP, but are available generally for future awards of stock options, performance stock units, performance stock, restricted stock units, restricted stock and other stock-based awards.
(2) Column (a) includes 854,600 stock options outstanding that were granted under the Broad Based Stock Option Plan. In July 2004, we announced a worldwide stock option grant under the Broad Based Stock Option Plan, which provided over 13,000 eligible employees with a grant of 100 non-qualified stock options each. The stock options were granted at a price of $46.44 per share which equates to 100% of the fair market value of our Common Stock on the date of grant (determined as the closing price on the New York Stock Exchange on the trading day immediately preceding the date the stock options were granted), and vested on July 19, 2009. Column (c) includes 1,115,400 stock options under the Broad Based Stock Option Plan remaining available for future issuances as of December 31, 2009.

 

     Column (c) also includes 123,784 shares remaining available for future issuances under the Directors’ Compensation Plan as of December 31, 2009.
This excerpt taken from the HSY 10-K filed Feb 20, 2009.

Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

(a) Information concerning ownership of our voting securities by certain beneficial owners, individual nominees for director, the named executive officers, including persons serving as our Chief Executive Officer and executive officers as a group, is set forth in the section entitled “Ownership of the Company’s Securities” in the Proxy Statement, which information is incorporated herein by reference.

 

105

Table of Contents

(b) The following table provides information about all of the Company’s equity compensation plans as of December 31, 2008:

Equity Compensation Plan Information

 

Plan Category

    (a)
Number of securities to be issued
upon exercise of outstanding
options, warrants and rights		    (b)
Weighted-average
exercise price of
outstanding options,
warrants and rights		    (c)
Number of securities
remaining available for future
issuance under equity
compensation plans
(excluding securities reflected
in column (a))

Equity compensation plans approved by security holders (1)

    15,779,743    $ 41.83    12,878,813

Equity compensation plans not approved by security holders (2)

    891,900    $ 46.44    1,201,884
            

Total

    16,671,643    $ 42.08    14,080,697
            

 

(1) Column (a) includes stock options granted under the stockholder-approved EICP. The securities available for future issuances in column (c) are not allocated to any specific type of award under the EICP, but are available generally for future awards of stock options, performance stock units, performance stock, restricted stock units, restricted stock and other stock-based awards.
(2) Column (a) includes 891,900 stock options outstanding that were granted under the Broad Based Stock Option Plan. In July 2004, the Company announced a worldwide stock option grant under the Broad Based Stock Option Plan, which provided over 13,000 eligible employees with a grant of 100 non-qualified stock options each. The stock options were granted at a price of $46.44 per share which equates to 100% of the fair market value of our Common Stock on the date of grant (determined as the closing price on the New York Stock Exchange on the trading day immediately preceding the date the stock options were granted), have a term of ten years and will vest on July 19, 2009. Column (c) includes 1,078,100 stock options under the Broad Based Stock Option Plan remaining available for future issuances as of December 31, 2008.

 

     Column (c) also includes 123,784 shares remaining available for future issuances under the Directors’ Compensation Plan as of December 31, 2008.
These excerpts taken from the HSY 10-K filed Feb 19, 2008.

Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

(a) Information concerning ownership of our voting securities by certain beneficial owners, individual nominees for director, the named executive officers, including persons serving as our Chief Executive Officer and executive officers as a group, is set forth in the section entitled “Ownership of the Company’s Securities” in the Proxy Statement, which information is incorporated herein by reference.

(b) The following table provides information about all of the Company’s equity compensation plans as of December 31, 2007:

Equity Compensation Plan Information

 

Plan Category

    (a)
Number of securities to be issued
upon exercise of outstanding
options, warrants and rights		    (b)
Weighted-average
exercise price of
outstanding options,
warrants and rights		    (c)
Number of securities
remaining available for future
issuance under equity
compensation plans
(excluding securities reflected
in column (a))

Equity compensation plans approved by security holders(1)

    12,706,616    $ 43.23    17,349,520

Equity compensation plans not approved by security holders(2)

    1,182,500    $ 43.62    1,147,684
            

Total

    13,889,116    $ 43.26    18,497,204
            

102

Table of Contents

 

 

(1) Column (a) includes stock options granted under the stockholder-approved EICP. The securities available for future issuances in column (c) are not allocated to any specific type of award under the EICP, but are available generally for future awards of stock options, PSUs, performance stock, RSUs, restricted stock and other stock-based awards.
(2) Column (a) includes 946,100 stock options outstanding that were granted under the Broad Based Stock Option Plan. In July 2004, the Company announced a worldwide stock option grant under the Broad Based Stock Option Plan, which provided over 13,000 eligible employees with a grant of 100 non-qualified stock options each. The stock options were granted at a price of $46.44 per share which equates to 100% of the fair market value of our Common Stock on the date of grant (determined as the closing price on the New York Stock Exchange on the trading day immediately preceding the date the stock options were granted), have a term of ten years and will vest on July 19, 2009. Column (c) includes 1,023,900 stock options under the Broad Based Stock Option Plan remaining available for future issuances as of December 31, 2007.

 

     Column (a) also includes 236,400 stock options granted to our former Chief Executive Officer, Richard H. Lenny, outside the Incentive Plan in connection with his recruitment. The stock options were granted on March 12, 2001 with an exercise price of $32.33, became fully vested on March 12, 2005, and have a ten-year term.

 

     Column (c) also includes 123,784 shares remaining available for future issuances under the Directors’ Compensation Plan as of December 31, 2007.

Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER
MATTERS

(a) Information concerning ownership of our voting securities by certain beneficial owners, individual nominees for
director, the named executive officers, including persons serving as our Chief Executive Officer and executive officers as a group, is set forth in the section entitled “Ownership of the Company’s Securities” in the Proxy Statement,
which information is incorporated herein by reference.

(b) The following table provides information about all of the Company’s equity
compensation plans as of December 31, 2007:

Equity Compensation Plan Information

STYLE="font-size:12px;margin-top:0px;margin-bottom:0px"> 


































































Plan Category

  (a)
Number of securities to be issued
upon exercise of outstanding
options, warrants and
rights		  (b)
Weighted-average
exercise price of
outstanding options,
warrants and rights		  (c)
Number of securities
remaining available for future
issuance under equity
compensation
plans
(excluding securities reflected
in column (a))

Equity compensation plans approved by security holders(1)SIZE="2">

  12,706,616  $43.23  17,349,520

Equity compensation plans not approved by security holders(2)FACE="Times New Roman" SIZE="2">

  1,182,500  $43.62  1,147,684
        

Total

  13,889,116  $43.26  18,497,204
        

102






Table of Contents


 

 





(1)Column (a) includes stock options granted under the stockholder-approved EICP. The securities available for future issuances in column (c) are not allocated to any
specific type of award under the EICP, but are available generally for future awards of stock options, PSUs, performance stock, RSUs, restricted stock and other stock-based awards.




(2)Column (a) includes 946,100 stock options outstanding that were granted under the Broad Based Stock Option Plan. In July 2004, the Company announced a worldwide stock option
grant under the Broad Based Stock Option Plan, which provided over 13,000 eligible employees with a grant of 100 non-qualified stock options each. The stock options were granted at a price of $46.44 per share which equates to 100% of the fair market
value of our Common Stock on the date of grant (determined as the closing price on the New York Stock Exchange on the trading day immediately preceding the date the stock options were granted), have a term of ten years and will vest on July 19,
2009. Column (c) includes 1,023,900 stock options under the Broad Based Stock Option Plan remaining available for future issuances as of December 31, 2007.
STYLE="font-size:6px;margin-top:0px;margin-bottom:0px"> 





    Column (a) also includes 236,400 stock options granted to our former Chief Executive Officer, Richard H. Lenny, outside the Incentive Plan in connection with his recruitment.
The stock options were granted on March 12, 2001 with an exercise price of $32.33, became fully vested on March 12, 2005, and have a ten-year term.
STYLE="font-size:6px;margin-top:0px;margin-bottom:0px"> 





    Column (c) also includes 123,784 shares remaining available for future issuances under the Directors’ Compensation Plan as of December 31, 2007.
This excerpt taken from the HSY 10-K filed Feb 23, 2007.

Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

(a) Information concerning ownership of our voting securities by certain beneficial owners, individual nominees for director, the named executive officers, including our Chief Executive Officer and executive officers as a group, is set forth in the section entitled “Ownership of the Company’s Securities” in the Proxy Statement, which information is incorporated herein by reference.

(b) Information about the Company’s Common Stock that may be issued under equity compensation plans as of December 31, 2006 is set forth in the Proxy Statement in the section entitled “Proposal No. 3 Approval of the Equity and Incentive Compensation Plan,” which information is incorporated herein by reference.

EXCERPTS ON THIS PAGE:

10-K
Feb 19, 2010
10-K
Feb 20, 2009
10-K (2 sections)
Feb 19, 2008
10-K
Feb 23, 2007

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