-----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, ACXc0tfXHT8rjbWAtW/B4Kam4Lcsyq6AJRNAM2GiULhUkFXYWcJ8t3VEAOD9o+Tw kVyBi1PKBASaTYLfrBIHxg== /in/edgar/work/20000710/0000950137-00-003235/0000950137-00-003235.txt : 20000712 0000950137-00-003235.hdr.sgml : 20000712 ACCESSION NUMBER: 0000950137-00-003235 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000614 FILED AS OF DATE: 20000710 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEEBLER FOODS CO CENTRAL INDEX KEY: 0001018848 STANDARD INDUSTRIAL CLASSIFICATION: [2052 ] IRS NUMBER: 363839556 STATE OF INCORPORATION: DE FISCAL YEAR END: 1230 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13705 FILM NUMBER: 669975 BUSINESS ADDRESS: STREET 1: 677 LARCH AVE CITY: ELMHURST STATE: IL ZIP: 60126 BUSINESS PHONE: 6308332900 MAIL ADDRESS: STREET 1: 677 LARCH AVE CITY: ELMHURST STATE: IL ZIP: 60126 FORMER COMPANY: FORMER CONFORMED NAME: KEEBLER CORP DATE OF NAME CHANGE: 19960715 COMPANY DATA: COMPANY CONFORMED NAME: VERMYLEN DAVID B CENTRAL INDEX KEY: 0001053901 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER 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 e4.txt FORM 4 1 - ------ FORM 4 - ------ U.S. SECURITIES AND EXCHANGE COMMISSION [ ] Check box if no longer WASHINGTON, DC 20549 subject to Section 16. Form 4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP continue. See Instruction 1(b). 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 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person(1)|2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person | | to Issuer (Check all applicable) Vermylen David B. | Keebler Foods Company (KBL) | Director 10% Owner - -------------------------------------------------------------------------------------------| ----- ----- (Last) (First) (Middle) |3. IRS Identification | 4. Statement for | X Officer (give title below) | Number of | Month/Year | ----- | Reporting Person, | | Other (specify below) | if an Entity | | ----- 677 Larch Avenue | (Voluntary) | June, 2000 | President-Keebler Brands - -----------------------------------------| |-------------------------|---------------------------------------- (Street) | | 5. If Amendment, |7. Individual or Joint/Group Filing | | Date of Original | (Check applicable line) | | (Month/Year) | X Form Filed by One Reporting Person Elmhurst, IL 60126 | | | -- - -----------------------------------------|-------------------------------------------------| Form Filed by More than One (City) (State) (Zip) | | -- Reporting Person | | - ------------------------------------------------------------------------------------------------------------------------------------ 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 | | (Instr. 8) | (Instr. 3, 4 and 5) | Beneficially| Form: | Indirect | | | | Owned at End| Direct | Bene- | |---------------|--------------------------| of Month | (D) or | ficial | | | | | (A) | | (Instr. 3 | Indirect | Owner- | (Month/Day/ | | | | or | | and 4) | (I) | ship | Year) | Code | V | Amount | (D) | Price | |(Instr. 4)|(Instr. 4) - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/14/00 | S | | 22,600 | D | 38.3125 | | I | (1) - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/14/00 | S | | 7,400 | D | 38.4375 | | I | (1) - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/14/00 | S | | 10,000 | D | 38.3750 | | I | (1) - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/14/00 | S | | 10,000 | D | 38.500 | | I | (1) - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 25,300 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 25,300 | D | 36.125 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 9,100 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 9,100 | D | 36.1875 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 2,800 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 2,800 | D | 36.250 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 18,800 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 18,800 | D | 36.0625 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 9,100 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 9,100 | D | 36.3125 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 10,000 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 10,000 | D | 36.8125 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | M | | 2,000 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/9/00 | S | | 2,000 | D | 36.375 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/12/00 | M | | 10,000 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/12/00 | S | | 10,000 | D | 36.250 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/12/00 | M | | 10,000 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/12/00 | S | | 10,000 | D | 36.4375 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/12/00 | M | | 2,900 | A | 1.74 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- Common Stock, par value $.01 | 6/12/00 | S | | 2,900 | D | 36.375 | | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | 50,318 | | - ---------------------------------------------------------------------------------------------------------------------------------- (1) David B. Vermylen, as trustee of the Revocable David B. Vermylen Declaration of Trust dated August 22, 1997.
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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 | 2. Conver- |3. Trans- |4. Trans- |5. Number of |6. Date Exer- |7. Title and Amount |8. Price Security | sion or | action | action | Derivative | cisable and | of Underlying | of (Instr. 3) | Exercise | Date | Code | Securities Ac- | Expiration | Securities | Deriv- | Price of | (Month/ | (Instr. 8)| quired (A) or | Date | (Instr. 3 and 4) | ative | Deriv- | Day/ | | Disposed of (D)| (Month/Day/ | | Secur- | ative | Year) | | (Instr. 3, 4, | Year) | | ity | Security | | | and 5) | | | (Instr. 5) | | | | |-------------------------------------| | | | | |Date |Expira- | | Amount or | | | |-------------------------------|Exer- |tion | Title | Number of | | | | Code |V | (A) |(D) |cisable|Date | | Shares | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | Common | | Option (To Buy) | 1.74 | 6/9/00 | M | | 77,100 | |IMMED | (1) | Stock | 77,100 | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | Common | | Option (To Buy) | 1.74 | 6/12/00 | M | | 22,900 | |IMMED | (1) | Stock | 22,900 | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of | 10. Ownership | 11. Nature of Derivative | Form of | Indirect Securities | Derivative | Beneficial Beneficially | Security: | Ownership Owned at End | Direct (D) | (Instr. 4) of Month | or Indirect (I) | (Instr. 4) | (Instr. 4) | - ------------------|------------------------|------------------------------ | D | - ------------------|------------------------|------------------------------ | D | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ 309,181 | | - ------------------|------------------------|------------------------------ (2) | | - ------------------|------------------------|------------------------------ | | - -------------------------------------------------------------------------- Explanation of Responses: (1) Upon the earlier of (a) ten years from date of grant, (b) 90 days after the date of termination other than for causes, or (c) first anniversary after termination from service by reason of death or permanent disability. (2) 300,956 options were issued under the 1996 Stock Option Plan and 108,225 options were issued under the 1998 Stock Option Plan. /s/ DAVID B. VERMYLEN 7/10/00 -------------------------------- ------- Signature of Reporting Person(1) Date Note File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2
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