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) 05/01/2012 |
3. Issuer Name and Ticker or Trading Symbol
BEAM INC [ NYSE: BEAM ] |
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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) |
Common Stock, par value $3.125 | 83 | D | |
Common Stock, par value $3.125 | 649 | I | Through Beam Inc. Retirement Savings Plan Trust. |
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 | ||||
Employee Stock Option (Right to Buy) | (1) | 09/26/2013 | Common Stock | 2,372 | $61.7448 | D | |
Employee Stock Option (Right to Buy) | (2) | 09/24/2014 | Common Stock | 2,372 | $67.1897 | D | |
Employee Stock Option (Right to Buy) | (3) | 09/29/2015 | Common Stock | 1,026 | $47.3192 | D | |
Employee Stock Option (Right to Buy) | 09/30/2012 | 09/30/2016 | Common Stock | 2,408 | $35.6741 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/22/2017 | Common Stock | 4,817 | $36.2468 | D | |
Employee Stock Option (Right to Buy) | (5) | 02/22/2021 | Common Stock | 3,011 | $51.0792 | D | |
Employee Stock Option (Right to Buy) | (6) | 10/04/2021 | Common Stock | 9,730 | $44.75 | D | |
Employee Stock Option (Right to Buy) | (7) | 02/21/2022 | Common Stock | 4,545 | $55.43 | D | |
Restricted Stock Unit | (8) | (8) | Common Stock | 2,570 | (9) | D | |
Restricted Stock Unit | (10) | (10) | Common Stock | 1,245 | (9) | D |
Explanation of Responses: |
1. The options vested in three equal annual installments beginning on September 26, 2007. |
2. The options vested in three equal annual installments beginning on September 24, 2008. |
3. The options vested in three equal annual installments beginning on September 29, 2009. |
4. The options vested as to 2,409 shares on February 22, 2012 and will vest as to the remaining 2,408 shares on February 22, 2013. |
5. The options vested as to 1,004 shares on February 22, 2012 and will vest as to 1,004 shares on February 22, 2013 and 1,003 shares on February 22, 2014. |
6. The options vest in three equal annual installments beginning on October 4, 2013. |
7. The options vest in three equal annual installments beginning on February 21, 2013. |
8. Payment of the award will be made in three equal installments on October 4, 2013, October 4, 2014, and October 4, 2015 if Mr. Fink remains employed through such dates, subject to special provisions in the event of death, disability or termination following a change in control. |
9. Each restricted stock unit represents a contingent right to receive one share of Beam Inc. common stock. |
10. Payment of the award will be made on or about February 21, 2015 if Mr. Fink remains employed through such date, subject to special provisions in the event of death, disability or termination following a change in control. |
Leslie W. Jensen, Attorney-in-Fact for Nicholas I. Fink | 05/09/2012 | |
** 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. |