Form 10-K/A
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form 10-K/A Amendment No. 1
? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For The Fiscal Year Ended October 1, 2006
OR
n TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from
to .
Commission File Number: 0-20322
Starbucks Corporation
(Exact Name of Registrant as Specified in Its Charter)
WASHINGTON
91-1325671
(State or other jurisdiction of incorporation or organization)
(IRS Employer Identification No.)
2401 Utah Avenue South
Seattle, Washington 98134
(Address of principal executive offices, zip code)
(REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE):
(206) 447-1575
SECURITIES REGISTERED PURSUANT TO SECTION 12(G) OF THE ACT:
Common Stock, $0.001 Par Value Per Share
SECURITIES REGISTERED PURSUANT TO SECTION 12(B) OF THE ACT:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ? No n
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes n No ?
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ? No n
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation of S-K is not contained herein, and will not be contained, to the best of the registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. ?
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of "accelerated filer and large accelerated filer" in Rule 12b-2 of the Exchange Act. (Check one)
Large Accelerated Filer ? Accelerated Filer n Non-Accelerated Filer n
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes n No ?
The aggregate market value of the voting stock held by non-affiliates of the registrant as of the last business day of the registrant's most recently completed second fiscal quarter, based upon the closing sale price of the registrant's common stock on March 31, 2006 as reported on the National Market tier of The NASDAQ Stock Market, Inc. was $28.2 billion.
As of December 8, 2006, there were 754,857,728 shares of the registrant's Common Stock outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the definitive Proxy Statement for the registrant's Annual Meeting of Shareholders to be held on March 21, 2007 have been incorporated by reference into Part III of this Annual Report on Form 10-K/A.
EXPLANATORY NOTE
Starbucks Corporation is filing this Amendment No. 1 on Form 10-K/A ("Form 10-K/A") to its Annual Report on Form 10-K for the fiscal year ended October 1, 2006 as filed with the Securities and Exchange Commission on December 14, 2006 (the "Original Filing") solely to correct an administrative error in the content of Item 7, "Management's Discussion and Analysis of Financial Condition and Results of Operations." The error appears in the first full paragraph on page 25 of the Original Filing. In the third sentence of that paragraph the 7% increase in comparable store sales growth in fiscal 2006 compared to fiscal 2005 is attributed to a 5% increase in the average value per transaction and a 2% increase in the number of customer transactions. The correct explanation is as follows: "The increase in comparable store sales was due to a 5% increase in the number of customer transactions and a 2% increase in the average value per transaction."
This Amendment does not update any disclosures to reflect developments since the filing date of the Original Filing.
In accordance with SEC Rule 12b-15, this Form 10-K/A sets forth the complete text of Item 7, "Management's Discussion and Analysis of Financial Condition and Results of Operations", as amended. However, in order to reduce printing and mailing costs, for purposes of providing the disclosure required under SEC rules in the Company's fiscal 2006 Annual Report to Shareholders (the "Annual Report"), the Company intends to provide shareholders (1) this Form 10-K/A, with only its explanatory note, signatures and certifications, (but excluding the full Item 7 as amended), together with (2) the Original Filing filed on December 14, 2006. The complete Form 10-K/A, including the full Item 7 as amended, will be available at the Company's web site set forth below and on the SEC's web site at , and will be provided without charge upon written request to the following address:
Investor Relations Starbucks Corporation 2401 Utah Avenue South, Mail Stop: FP1 Seattle, Washington 98134-1435 (206) 447-1575 x87118 investorrelations@
In addition, we have filed the following exhibits, which are not reproduced in this printed version:
31.1 Certification of Principal Executive Officer Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2 Certification of Principal Financial Officer Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1 Certification of Principal Executive Officer Pursuant to Rule 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2 Certification of Principal Financial Officer Pursuant to Rule 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
Except as described above, no other changes have been made to the Original Filing and this Form 10-K/A does not amend, update or change the financial statements or any other items or disclosures in the Original Filing.
SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
STARBUCKS CORPORATION
December 21, 2006
By: /s/ Michael Casey
Michael Casey executive vice president, chief financial officer and chief administrative officer
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form 10-K
? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For The Fiscal Year Ended October 1, 2006
OR
n TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from
to .
Commission File Number: 0-20322
Starbucks Corporation
(Exact Name of Registrant as Specified in Its Charter)
WASHINGTON
91-1325671
(State or other jurisdiction of incorporation or organization)
(IRS Employer Identification No.)
2401 Utah Avenue South
Seattle, Washington 98134
(Address of principal executive offices, zip code)
(REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE):
(206) 447-1575
SECURITIES REGISTERED PURSUANT TO SECTION 12(G) OF THE ACT:
Common Stock, $0.001 Par Value Per Share
SECURITIES REGISTERED PURSUANT TO SECTION 12(B) OF THE ACT:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ? No n
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes n No ?
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ? No n
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation of S-K is not contained herein, and will not be contained, to the best of the registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. ?
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of "accelerated filer and large accelerated filer" in Rule 12b-2 of the Exchange Act. (Check one)
Large Accelerated Filer ? Accelerated Filer n Non-Accelerated Filer n
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes n No ?
The aggregate market value of the voting stock held by non-affiliates of the registrant as of the last business day of the registrant's most recently completed second fiscal quarter, based upon the closing sale price of the registrant's common stock on March 31, 2006 as reported on the National Market tier of The NASDAQ Stock Market, Inc. was $28.2 billion.
As of December 8, 2006, there were 754,857,728 shares of the registrant's Common Stock outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the definitive Proxy Statement for the registrant's Annual Meeting of Shareholders to be held on March 21, 2007 have been incorporated by reference into Part III of this Annual Report on Form 10-K.
STARBUCKS CORPORATION
FORM 10-K
For the Fiscal Year Ended October 1, 2006
Table of Contents
PAGE
PART I
ITEM 1 Business
2
ITEM 1A Risk Factors
10
ITEM 1B Unresolved Staff Comments
14
ITEM 2 Properties
15
ITEM 3 Legal Proceedings
15
ITEM 4 Submission of Matters to a Vote of Security Holders
15
PART II
ITEM 5 Market for the Registrant's Common Equity, Related Shareholder Matters and Issuer Purchases of
Equity Securities
17
ITEM 6 Selected Financial Data
18
ITEM 7 Management's Discussion and Analysis of Financial Condition and Results of Operations
19
ITEM 7A Quantitative and Qualitative Disclosures About Market Risk
36
ITEM 8 Financial Statements and Supplementary Data
37
Reports of Independent Registered Public Accounting Firm
70
ITEM 9 Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
72
ITEM 9A Controls and Procedures
72
ITEM 9B Other Information
72
PART III
ITEM 10 Directors and Executive Officers of the Registrant
73
ITEM 11 Executive Compensation
73
ITEM 12 Security Ownership of Certain Beneficial Owners and Management and Related Shareholder
Matters
73
ITEM 13 Certain Relationships and Related Transactions
73
ITEM 14 Principal Accountant Fees and Services
73
PART IV
ITEM 15 Exhibits and Financial Statement Schedules
73
SIGNATURES
75
INDEX TO EXHIBITS
77
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