Filing Details
- Accession Number:
- 0001181431-13-056538
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-04 18:32:11
- Reporting Period:
- 2013-10-31
- Filing Date:
- 2013-11-04
- Accepted Time:
- 2013-11-04 18:32:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 789073 | Beam Inc | NYSE: BEAM | Beverages (2080) | 133295276 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1531376 | A William Newlands | Beam Inc. 510 Lake Cook Road Deerfield IL 60015 | Svp & President, Na | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $3.125 | Acquisiton | 2013-10-31 | 7,450 | $0.00 | 8,362 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-10-31 | 3,498 | $66.55 | 4,864 | No | 4 | F | Direct | |
| Common Stock, Par Value $3.125 | Acquisiton | 2013-11-01 | 6,745 | $44.75 | 11,609 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-11-01 | 6,745 | $67.30 | 4,864 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2013-10-31 | 7,450 | $0.00 | 7,450 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-11-01 | 6,745 | $0.00 | 6,745 | $44.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 14,900 | No | 4 | M | Direct | ||
| 77,865 | 2021-10-04 | No | 4 | M | Direct |
Footnotes
- Each RSU converts to one share of the Issuer's common stock.
- Reflects the vesting and payment of an RSU award to the undersigned under Beam's Long-Term Incentive Plan in a transaction exempt under Rule 16b-3(d).
- On October 4, 2011, the reporting person was granted 22,350 restricted stock units, vesting in three equal installments beginning on the second anniversary of the grant date subject to Beam's satisfaction of certain performance criteria. The performance criteria for the award have been met.
- Reflects the withholding by the Issuer of shares awarded to the undersigned under having a fair market value equal to the withholding taxes payable by the undersigned at the time the award vested, such transaction being exempt under Rule 16b-3(e).
- Reflects the exercise of stock options issued under Beam's Long-Term Incentive Plan.
- On October 4, 2011, the reporting person was granted 84,610 options, vesting in three equal installments beginning on the second anniversary of the grant date.
- The price in column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices from $67.25 to $67.43, inclusive. The Reporting Person undertakes to provide to the SEC, Beam and any security holder, upon request, full information regarding the number of shares sold at each price point within the ranges set forth in this footnote.
- Includes 912 shares acquired under the Beam Employee Stock Purchase Plan.
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