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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 61.42 | 02/21/2013 | A(1) | 21,947 | (2) | 02/21/2023 | Common Stock | 21,947 | $ 0 | 21,947 | D | ||||
Restricted Stock Unit | (3) | 02/21/2013 | A(4) | 5,617 | (5) | (5) | Common Stock | 5,617 | $ 0 | 5,617 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Newlands William A BEAM INC. 510 LAKE COOK ROAD DEERFIELD, IL 60015 |
SVP & President, NA |
Leslie W. Jensen, Attorney-in-Fact for William A. Newlands | 02/25/2013 | |
**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 grant of options under Beam's 2011 Long-Term Incentive Plan. |
(2) | The options vest in three equal annual installments beginning on February 21, 2014. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Beam's common stock. |
(4) | Reflects the grant of restricted stock unit awards payable in shares of Beam's common stock under Beam's 2011 Long-Term Incentive Plan. |
(5) | Full payment of the award will be made in the form of shares of Beam's common stock as of February 21, 2016 if the Reporting Person remains employed with the Company through such date and certain performance goals are met, subject to special provisions in the event of death, disability or termination following a change in control. |