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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
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 | ||||||||
Restricted Stock Units (RSUs) | (3) | 12/31/2012 | M | 21,203 | (4) | (4) | Common Stock | 21,203 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shattock Matthew J BEAM INC. 510 LAKE COOK ROAD DEERFIELD, IL 60015 |
X | President & CEO |
Todd M. Bloomquist, Attorney-in-Fact for Matthew J. Shattock | 01/03/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Reflects the vesting and payment of a restricted stock unit award made under the Company's Long-Term Incentive Plan following the Company's spin-off of Fortune Brands Home & Security, Inc. on October 3, 2011. The award replaced an award of performance shares made prior to the spin-off. |
(2) | Reflects the withholding by the Company of shares awarded to the Reporting Person having a fair market value equal to the withholding taxes payable by the Reporting Person at the time the award vested, such transaction being exempt under Rule 16b-3(e). |
(3) | Each RSU converts to one share of the Company's common stock. |
(4) | This RSU award became vested and payable on December 31, 2012. |
(5) | Includes 490 shares acquired under the Employee Stock Purchase Plan. |