SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Richardson Paul J

(Last) (First) (Middle)
500 SOUTH BUENA VISTA STREET

(Street)
BURBANK CA 91521

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/01/2021
3. Issuer Name and Ticker or Trading Symbol
Walt Disney Co [ DIS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr. EVP and Chief HR Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right-to-Buy) (1) 12/19/2027 Disney Common Stock 13,922 111.58 D
Restricted Stock Unit (2) (2) Disney Common Stock 1,354 (3) D
Stock Option (Right-to-Buy) (4) 12/19/2028 Disney Common Stock 13,235 110.5381 D
Restricted Stock Unit (5) (5) Disney Common Stock 2,615 (3) D
Stock Option (Right-to-Buy) (6) 12/17/2029 Disney Common Stock 10,728 148.04 D
Restricted Stock Unit (7) (7) Disney Common Stock 2,964 (3) D
Stock Option (Right-to-Buy) (8) 12/17/2030 Disney Common Stock 3,538 173.4 D
Restricted Stock Unit (9) (9) Disney Common Stock 2,651 (3) D
Stock Option (Right-to-Buy) (10) 03/08/2031 Disney Common Stock 2,843 198.405 D
Restricted Stock Unit (11) (11) Disney Common Stock 2,317 (3) D
Explanation of Responses:
1. Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option has vested as to 10,441 shares. The remaining unvested portion of the option vests in a single installment of 3,481 shares on December 19, 2021.
2. This restricted stock unit award was granted under the Company's 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 1354 stock units plus dividend equivalent units on these units on December 19, 2021.
3. Converts at 1-for-1.
4. Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option has vested as to 6,617 shares. The remaining unvested portion of the option vests as to 3,309 shares on each December 19 of 2021 and 2022.
5. This restricted stock unit award was granted under the Company's 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 1307 stock units plus dividend equivalent units on these units on December 19, 2021, and as to 1,308 stock units plus dividend equivalent units on these units on December 19, 2022.
6. Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option has vested as to 2,682 shares. The remaining unvested portion of the option vests as to 2,682 shares on each December 17 of 2021, 2022, and 2023.
7. This restricted stock unit award was granted under the Company's 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 988 stock units plus dividend equivalent units on these units on each December 17 of 2021, 2022, and 2023.
8. Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option vests as to 1,180 shares on December 17, 2021, and as to 1,179 shares on each December 17 of 2022 and 2023.
9. This restricted stock unit award was granted under the Company's 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 884 stock units plus dividend equivalent units on these units on December 17, 2021; as to 883 stock units plus dividend equivalent units on these units on December 17, 2022; and as to 884 stock units plus dividend equivalent units on these units on December 17, 2023.
10. Option was granted under a stock incentive plan, in a transaction exempt under Rule 16(b)-3. The option vests as to 948 shares on March 8, 2022; as to 947 shares on March 8, 2023; and as to 948 shares on March 8, 2024.
11. This restricted stock unit award was granted under the Company's 2011 Stock Incentive Plan in a transaction exempt under Rule 16(b)-3. The award is scheduled to vest as to 773 stock units plus dividend equivalent units on these units on March 8, 2022, and as to 772 stock units plus dividend equivalent units on these units on each March 8 of 2023 and 2024.
Remarks:
/s/ Jolene E. Negre as attorney-in-fact 07/02/2021
** 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 5 (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).
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