SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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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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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
| 250 PARK AVE SOUTH |
| SEVENTH FLOOR |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Vita Coco Company, Inc.
[ COCO ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
| Chief Executive Officer |
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3. Date of Earliest Transaction
(Month/Day/Year)
11/04/2024
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
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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. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
11/04/2024 |
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S
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5,000 |
D |
$35.015
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472,452 |
D |
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| Common Stock |
11/05/2024 |
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S
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5,000 |
D |
$35.189
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467,452 |
D |
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| Common Stock |
11/04/2024 |
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S
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5,000 |
D |
$35.026
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429,525 |
I |
by Chris Roper FT
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| Common Stock |
11/05/2024 |
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S
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5,000 |
D |
$35.195
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424,525 |
I |
by Chris Roper FT
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| Common Stock |
11/04/2024 |
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S
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5,000 |
D |
$35.022
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429,525 |
I |
by Peter Roper FT
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| Common Stock |
11/05/2024 |
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S
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5,000 |
D |
$35.19
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424,525 |
I |
by Peter Roper FT
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| Common Stock |
11/04/2024 |
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S
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5,000 |
D |
$35.018
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429,525 |
I |
by Thomas Roper FT
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| Common Stock |
11/05/2024 |
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S
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5,000 |
D |
$35.191
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424,525 |
I |
by Thomas Roper FT
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| Common Stock |
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82,000 |
I |
by Spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction 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
(Month/Day/Year) |
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: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Non-Qualified Stock Option (right to buy) |
$10.178
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09/19/2029 |
Common Stock |
579,670 |
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579,670 |
D |
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| Non-Qualified Stock Option (right to buy) |
$10.178
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01/11/2031 |
Common Stock |
40,950 |
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40,950 |
D |
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| Non-Qualified Stock Option (right to buy) |
$15
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10/21/2031 |
Common Stock |
298,507 |
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298,507 |
D |
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| Non-Qualified Stock Option (right to buy) |
$16.91
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03/10/2033 |
Common Stock |
46,875 |
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46,875 |
D |
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| Non-Qualified Stock Option (right to buy) |
$26.18
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03/04/2034 |
Common Stock |
62,743 |
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62,743 |
D |
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| Explanation of Responses: |
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By: Alison Klein, Attorney-in-Fact For: Martin Roper |
11/06/2024 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| 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 Number. |
Exhibit 24
POWER OF ATTORNEY
With respect to holdings of and transactions in securities issued by
The Vita Coco Company, Inc.(the "Company"), the undersigned hereby
constitutes and appoints Alison Klein, Corey Baker, Martin Roper, or
any of them signing singly, with full power of substitution and resubstitution,
to act as the undersigned's true and lawful attorney-in-fact to:
1. execute for and on behalf of the undersigned, Schedules 13D and 13G in
accordance with Section 13 of the Securities Exchange Act of 1934, as amended
(the "Exchange Act"), and the rules thereunder, and Forms 3, 4, and 5 in
accordance with Section 16 of the Exchange Act and the rules thereunder;
2. do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such
Schedule 13D or 13G or Form 3, 4, or 5, complete and execute any amendment or
amendments thereto, and timely file such schedule or form with
the SEC and any stock exchange or similar authority; and
3. take any other action of any type whatsoever in connection with the
foregoing which,in the opinion of such attorney-in-fact, may be of benefit
to,in the best interest of, or legally required by, the undersigned, it
being understood that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall be in such
form and shall contain such terms and conditions as such attorney-in-fact
may approvein such attorney in facts discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and
powersherein granted, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of substitution and
resubstitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorneys-in-fact substitute or substitutes, shall
lawfully do or cause to be done by virtue of this Power of Attorney and the
rights and powers herein granted.
The undersigned acknowledges that the foregoing attorneys-in-fact, in serving
in such capacity at the request of the undersigned, are not assuming, nor is
the Company assuming, any of the undersigned's responsibilities to comply
with Section 13 and Section 16 of the Exchange Act. This Power of Attorney
shall remain in full force and effect until the undersigned is no longer
required to file Schedule 13D and 13G and Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of this 1st day of October, 2024.
/s/ Martin Roper
Martin Roper
