Filing Details
- Accession Number:
- 0001181431-13-047859
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-05 18:58:11
- Reporting Period:
- 2013-09-03
- Filing Date:
- 2013-09-05
- Accepted Time:
- 2013-09-05 18:58:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1531652 | A Philip Baldock | Beam Inc. 510 Lake Cook Road Deerfield IL 60015 | Svp & President, Apsa | 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 | 2013-09-03 | 2,244 | $57.18 | 2,244 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Acquisiton | 2013-09-03 | 8,542 | $61.74 | 10,786 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Acquisiton | 2013-09-03 | 2,846 | $47.32 | 13,632 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Acquisiton | 2013-09-03 | 5,039 | $35.67 | 18,671 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Acquisiton | 2013-09-03 | 9,144 | $51.08 | 27,815 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-09-03 | 27,815 | $63.21 | 0 | No | 4 | S | Direct | |
| Common Stock, Par Value $3.125 | Acquisiton | 2013-09-04 | 4,393 | $51.08 | 4,393 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-09-04 | 4,393 | $63.03 | 0 | No | 4 | S | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-09-05 | 2,527 | $51.08 | 2,527 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-09-05 | 4,942 | $55.43 | 7,469 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-09-05 | 6,023 | $36.25 | 13,492 | No | 4 | M | Direct | |
| Common Stock, Par Value $3.125 | Disposition | 2013-09-05 | 13,492 | $63.07 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | Stock Option (Right to Buy) | Disposition | 2013-09-03 | 2,244 | $0.00 | 2,244 | $57.18 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-03 | 8,542 | $0.00 | 8,542 | $61.74 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-03 | 2,846 | $0.00 | 2,846 | $47.32 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-03 | 5,039 | $0.00 | 5,039 | $35.67 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-03 | 9,144 | $0.00 | 9,144 | $51.08 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-04 | 4,393 | $0.00 | 4,393 | $51.08 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-05 | 2,527 | $0.00 | 2,527 | $51.08 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-05 | 4,942 | $0.00 | 4,942 | $55.43 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-09-05 | 6,023 | $0.00 | 6,023 | $36.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-09-28 | 2014-09-28 | No | 4 | M | Direct |
| 0 | 2009-09-26 | 2013-09-26 | No | 4 | M | Direct |
| 0 | 2011-09-29 | 2015-09-29 | No | 4 | M | Direct |
| 0 | 2012-09-30 | 2016-09-30 | No | 4 | M | Direct |
| 14,951 | 2021-02-22 | No | 4 | M | Direct | |
| 10,558 | 2021-02-22 | No | 4 | M | Direct | |
| 8,031 | 2021-02-22 | No | 4 | M | Direct | |
| 9,880 | 2022-02-21 | No | 4 | M | Direct | |
| 0 | 2013-02-22 | 2017-02-22 | No | 4 | M | Direct |
Footnotes
- Reflects the exercise of stock options under Beam's Long-Term Incentive Plans.
- 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 $63.00 to $63.34, 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 separate price point within the ranges set forth in this footnote.
- 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 $63.00 to $63.16, 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 separate price point within the ranges set forth in this footnote.
- The option has vested as to 16,064 shares as of February 22, 2013 and will vest as to the remaining 8,031 shares on February 22, 2014.
- 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 $63.00 to $63.22, 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 separate price point within the ranges set forth in this footnote.
- The option has vested as to 4,942 shares as of February 21, 2013 and will vest as to an additional 4,940 shares on each of February 21, 2014 and February 21, 2015.
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