-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CHLqaiZTRHGDnq7OiwXrUy0PZxMi4g7Na+6TJBy4brQvCuDgp3ndCeIMWHuv0qNi oD4E6Cb3Ij6XmHmQ3Dftuw== 0000030697-98-000066.txt : 19980212 0000030697-98-000066.hdr.sgml : 19980212 ACCESSION NUMBER: 0000030697-98-000066 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971228 FILED AS OF DATE: 19980211 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRIARC COMPANIES INC CENTRAL INDEX KEY: 0000030697 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] IRS NUMBER: 380471180 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-02207 FILM NUMBER: 98531154 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124513000 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: DWG CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DWG CIGAR CORP DATE OF NAME CHANGE: 19680820 FORMER COMPANY: FORMER CONFORMED NAME: DEISEL WEMMER GILBERT CORP DATE OF NAME CHANGE: 19680820 COMPANY DATA: COMPANY CONFORMED NAME: SMITH ROLAND CENTRAL INDEX KEY: 0001036513 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 280 THIRD AVENUE STREET 2: 24TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124513000 MAIL ADDRESS: STREET 1: TRIARC CO STREET 2: 280 PARK AVENUE 24TH FL CITY: NEW YORK STATE: NY ZIP: 10017 5 1 FORM 5 - DECEMBER 28, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person Smith, Roland Arby's, Inc. d/b/a Triarc Restaurant Group 1000 Corporate Drive Ft. Lauderdale,, FL 33334 USA 2. Issuer Name and Ticker or Trading Symbol Triarc Companies, Inc. TRY 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 28, 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President of Arby's, Inc. d/b/a Triarc Restaurant Group 7. Individual or Joint/Group Reporting (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Options (|$23.3125|12/12|(A) |30,000 |A |(1) |12/12|Class A Comm|30,000 | |30,000 |(D)| | right to buy) with tande| |/97 | | | | |/07 |on Stock | | | | | | m tax withholding rights| | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|$12.54 |03/20|(A) |10,000 |A |(2) |03/20|Class A Comm|10,000 | |10,000 |(D)| | right to buy) with tande| |/97 | | | | |/07 |on Stock | | | | | | m tax withholding rights| | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|$12.8125|01/21|(A) |20,000 |A |(3) |01/21|Class A Comm|20,000 | |20,000 |(D)| | right to buy) with tande| |/97 | | | | |/07 |on Stock | | | | | | m tax withholding rights| | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) One-third 12/12/98; one-third 12/12/99 and one-third 12/12/00. (2) One-third 03/20/98; one-third 03/20/99 and one-third 03/20/00. (3) One-third 01/21/00; one-third 01/21/01 and one-third 01/21/02. SIGNATURE OF REPORTING PERSON ROLAND SMITH DATE February 11, 1998 -----END PRIVACY-ENHANCED MESSAGE-----