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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 | ||||||||
Stock Options (Right to Buy) | $ 35.6741 | 05/14/2012 | M(1) | 9,491 | (2) | 09/30/2016 | Common Stock | 9,491 | $ 0 | 12,046 | D | ||||
Stock Options (Right to Buy) | $ 36.2468 | 05/14/2012 | M(1) | 1,909 | (3) | 02/22/2017 | Common Stock | 1,909 | $ 0 | 26,080 | D | ||||
Stock Options (Right to Buy) | $ 36.2468 | 05/15/2012 | M(1) | 6,001 | (3) | 02/22/2017 | Common Stock | 6,001 | $ 0 | 20,079 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gourlay Ian BEAM INC. 510 LAKE COOK ROAD DEERFIELD, IL 60015 |
SVP Operations & Supply Chain |
Leslie W. Jensen, Attorney-in-Fact for Ian Gourlay | 05/16/2012 | |
**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 exercise of stock options issued under the Issuer's Long-Term Incentive Plans. |
(2) | The options vested as to 9,491 shares on September 30, 2011 and will vest as to the remaining 12,046 shares on September 30, 2013. |
(3) | The options vested as to 7,910 shares of February 22, 2011 and 10,040 shares as of February 22, 2012, and will vest as to the remaining 10,039 shares on February 22, 2013. |
(4) | The price in column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices ranging from $58.50 to $58.58, inclusive. The Reporting Person undertakes to provide to the SEC, the Issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(5) | The price in column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices ranging from $58.10 to $58.13, inclusive. The Reporting Person undertakes to provide to the SEC, the Issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(6) | The price in column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices ranging from $58.50 to $58.52, inclusive. The Reporting Person undertakes to provide to the SEC, the Issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold. |
(7) | Includes 360 shares acquired under the Beam Employee Stock Purchase Plan. |