FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/15/2011 |
3. Issuer Name and Ticker or Trading Symbol
KRAFT FOODS INC [ KFT ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 47,400(1) | D | |
Units | 1,949(2) | I | 401(k) plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (right to buy) | (3) | 02/02/2018 | Class A Common Stock | 23,760 | $29.485 | D | |
Stock Options (right to buy) | (4) | 02/20/2019 | Class A Common Stock | 31,760 | $23.6385 | D | |
Stock Options (right to buy) | (5) | 02/21/2020 | Class A Common Stock | 38,640 | $29.145 | D | |
Stock Options (right to buy) | (6) | 02/23/2021 | Class A Common Stock | 39,600 | $31.825 | D |
Explanation of Responses: |
1. Total number of shares includes 20,980 shares of restricted stock awarded under Kraft Foods' Amended and Restated 2005 Performance Incentive Plan. Restricted shares will vest as follows: 7,940 shares on February 17, 2012; 6,440 shares on February 22, 2013; and 6,600 shares on February 24, 2014. |
2. Units represent interests in the Kraft Foods Stock Fund, which are payable in cash. The reporting person's interests in the Kraft Foods Stock Fund fluctuate with the fund's performance. The information in this report is based on a plan statement dated as of July 15, 2011. |
3. Options vest in three annual installments as follows: 33% on February 4, 2009; 33% on February 4, 2010; and 34% on February 4, 2011. |
4. Options vest in three annual installments as follows: 33% on February 19, 2010; 33% on February 18, 2011; and 34% on February 17, 2012. |
5. Options vest in three annual installments as follows: 33% on February 22, 2011; 33% on February 22, 2012; and 34% on February 22, 2013. |
6. Options vest in three annual installments as follows: 33% on February 23, 2012; 33% on February 25, 2013; and 34% on February 24, 2014. |
/s/ Phuong Lam, by Power of Attorney | 08/15/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |