-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, V8HFxaa9bUWnLd3yDLvo3a02H1X20jvw+lVXHsCtZ1uY8ireF2GGVSz17Mu9rUhA ZBMaEiTbPlmSQd8XldV0PQ== 0000950137-98-000945.txt : 19980311 0000950137-98-000945.hdr.sgml : 19980311 ACCESSION NUMBER: 0000950137-98-000945 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980203 FILED AS OF DATE: 19980310 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEEBLER FOODS CO CENTRAL INDEX KEY: 0001018848 STANDARD INDUSTRIAL CLASSIFICATION: COOKIES & CRACKERS [2052] IRS NUMBER: 361894790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13705 FILM NUMBER: 98561851 BUSINESS ADDRESS: STREET 1: 677 LARCH AVE CITY: ELMHURST STATE: IL ZIP: 60126 BUSINESS PHONE: 6308332900 FORMER COMPANY: FORMER CONFORMED NAME: KEEBLER CORP DATE OF NAME CHANGE: 19960715 COMPANY DATA: COMPANY CONFORMED NAME: SPEAR JAMES T CENTRAL INDEX KEY: 0001053903 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 677 KARCH AVE CITY: ELMHURST STATE: IL ZIP: 60126 BUSINESS PHONE: 2123711717 MAIL ADDRESS: STREET 1: 135 E 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 4 1 FORM 4 1
FORM 4 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION --------------------------- [ ] Check this box if no longer WASHINGTON, D.C. 20549 OMB Number: 3235-0287 subject to Section 16. Form Expires: September 30, 1998 4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden continue. See Instruction 1(b). hours per response.... 0.5 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(f) of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person*| 2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person(s) | | to Issuer (Check all applicable) Spear, James T. | Keebler Foods Company (KBL) | _____ Director _____ 10% Owner - -------------------------------------------------------------------------------------------| __X__ Officer (give _____ Other (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | title below) (specify below) | Security Number | Month/Year | Vice President Finance and | of Reporting | | Corporate Controller | Person (Voluntary) | February, 1998 |---------------------------------------- 677 Larch Avenue | |-------------------------| 7. Individual or Joint/Group Filing - ----------------------------------------| | 5. If Amendment, | (Check Applicable Line) (Street) | | Date of Original | _X_ Form filed by One Reporting Person | | (Month/Year) | ___ Form filed by More than One Elmhurst Illinois 60126 | | | Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) | Table I - Non Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security |2.Transaction | 3.Transaction | 4.Securities Acquired(A) | 5.Amount of | 6.Owner-| 7.Nature (Instr. 3) | Date | Code | or Disposed of(D) | Securities | ship | of |(Month/Day/ | (Instr. 8) | (Instr. 3, 4 and 5) | Beneficially| Form: | Indirect | Year) | | | Owned at End| Direct | Bene- | | --------------|--------------------------| of Month | (D) or | ficial | | | | Amount | (A) | Price | (Instr. 3 | Indirect| Owner- | | Code | V | | or | | and 4) | (I) | ship | | | | | (D) | | |(Instr.4)|(Instr.4) - ----------------------------------------|--------------|-------|-------|--------|------|----------|-------------|---------|--------- Common Stock, par value $.01 per share | 2/3/98 | P | | 400 | A |$24.00 | 43,393 | D | - ----------------------------------------|--------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ----------------------------------------|--------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ----------------------------------------|--------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ----------------------------------------|--------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ----------------------------------------|--------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 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 4(b)(v). SEC 1474 (7-97) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
2
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1.Title of Derivative Security | 2.Conversion | 3.Transaction | 4.Transaction | 5.Number of | 6.Date Exer- | 7.Title and Amount (Instr. 3) | or Exercise | Date | Code | Derivative | cisable and | of Underlying | Price of | | (Instr. 8) | Securities | Expiration Date | Securities | Derivative | (Month/Day/ | | Acquired (A) | (Month/Day/Year) | (Instr. 3 and 4) | Security | Year) | | or Disposed | | | | | | of (D) |-------------------------------------- | | | | (Instr. 3, | Date | Expir- | | Amount or | | | | 4 and 5) | Exer- | ation | Title | Number of | | |---------------|--------------| cisable | Date | | Shares | | | Code | V | (A) | (D) | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Common Option (to buy) | $1.74 | | | | | | (1) | 1/06 | Stock | 128,981 - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ 8.Price of | 9.Number of | 10.Ownership | 11.Nature of | Derivative | Derivative | Form of | Indirect | Security | Securities | Derivative | Beneficial | (Instr. 5) | Beneficially | Security; | Ownership | | Owned at End | Direct (D) or | (Instr. 4) | | of Month | Indirect (I) | | | (Instr. 4) | (Instr. 4) | | - -------------------------------------------------------------------| | | D | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - ------------------------------------------------------------------- Explanation of Responses: (1) Approximately 90,286 options are immediately exercisable. The remainder vest over a three-year period ending February, 2001. /s/ JAMES T. SPEAR March 10 , 1998 ------------------------------------ ----------------- **JAMES T. SPEAR - *Signature of Reporting Person Date
** 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1447(7-97) -----END PRIVACY-ENHANCED MESSAGE-----