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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bennink Jan C/O SARA LEE CORPORATION 3500 LACEY ROAD DOWNERS GROVE, IL 60515 |
X | Executive Chairman |
/s/ Helen N. Kaminski for Jan Bennink pursuant to power of attorney previously filed. | 08/16/2011 | |
**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) | The price reported is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.17 to $17.19, inclusive. The reporting person untertakes 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 purchased. |
(2) | The price reported is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.20 to $17.29, inclusive. The reporting person untertakes 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 purchased. |
(3) | The price reported is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.30 to $17.39, inclusive. The reporting person untertakes 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 purchased. |
(4) | The price reported is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.40 to $17.41, inclusive. The reporting person untertakes 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 purchased. |
(5) | Includes 154,685 Restricted stock units ("RSUs") that may be settled only for shares of common stock. These RSUs vest in full on August 31, 2013, subject to the reporting person's continued employment with Sara Lee through that date; however, upon completion of the plan, announced by Sara Lee on January 28, 2011, to divide the company into two separate, publicly traded companies, any outstanding equity then held by the reporting person will vest in full. |