|
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 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 36.2468 | 08/20/2013 | M(2) | 3,389 | 02/22/2013 | 02/22/2017 | Common Stock | 3,389 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 51.0792 | 08/20/2013 | M(2) | 1,607 | (4) | 02/22/2021 | Common Stock | 1,607 | $ 0 | 802 | D | ||||
Stock Option (Right to Buy) | $ 55.43 | 08/20/2013 | M(2) | 1,450 | (5) | 02/21/2022 | Common Stock | 1,450 | $ 0 | 2,898 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mierzwicki Leo A BEAM INC. 510 LAKE COOK ROAD DEERFIELD, IL 60015 |
VP & Corporate Controller |
Leslie W. Jensen, Attorney-in-Fact for Leo A. Mierzwicki | 08/21/2013 | |
**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) | The Reporting Person originally acquired these shares under the Employee Stock Purchase Plan. |
(2) | Reflects the exercise of stock options issued under the Issuer's Long-Term Incentive Plan. |
(3) | 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 $62.53 to $62.72, inclusive. The Reporting Person undertakes to provide to the SEC, the Issuer and any security holder, upon request, full information regarding the number of shares sold at each separate price point within the ranges set forth in this footnote. |
(4) | The option has vested as to 1,607 shares on February 22, 2013 and will vest as to the remaining 802 shares on February 22, 2014. |
(5) | The option has vested as to 1,450 shares on February 21, 2013 and will vest as to the remaining 2,898 shares in two equal installments on February 21, 2014 and February 21, 2015. |