-----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, GoqM7dSF5LnN64L5KEZoyp/IKk5TpjWcx0K5NJeiuVZI8Ig37OU02SDYKHRA71hh DOYNQ5TvFMVhgm8crOiMoQ== 0000950137-01-501748.txt : 20010524 0000950137-01-501748.hdr.sgml : 20010524 ACCESSION NUMBER: 0000950137-01-501748 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010523 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEEBLER FOODS CO CENTRAL INDEX KEY: 0001018848 STANDARD INDUSTRIAL CLASSIFICATION: COOKIES & CRACKERS [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: 1646543 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: WILLARD JAMES T CENTRAL INDEX KEY: 0001053898 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 c62797ke4.txt FORM 4 - JAMES T. WILLARD 1 - ------ FORM 4 - ------ U.S. SECURITIES AND EXCHANGE COMMISSION [X] 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) Willard James T. | 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) 677 Larch Avenue | if an Entity | March 2001 | ----- | (Voluntary) | | Senior Vice President--Operations - -----------------------------------------| |-------------------------|---------------------------------------- (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) - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - ---------------------------------------------------------------------------------------------------------------------------------- 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 persons, see Instruction 4(b)(v). 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.
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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 | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ Option (to buy) | 1.74 | 3/26/01 | D | V | | 200,956 | (1) | (2) | Common | 200,956 | 40.26 | | | | | | | | | Stock | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ Option (to buy) | 24.00 | 3/26/01 | D | V | | 83,250 | (1) | (2) | Common | 83,250 | 18.00 | | | | | | | | | Stock | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------- 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) | - ------------------|------------------------|------------------------------ | I | (3) - ------------------|------------------------|------------------------------ | I | (3) - ------------------|------------------------|------------------------------ 0 | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - -------------------------------------------------------------------------- Explanation of Responses: (1) Options were cancelled in the merger in exchange for a cash payment of $40.26 per share and $18.00 per share, representing the difference between the exercise price of the option and $42.00 per share (2) Upon the expiration of (a) ten years from date of grant, (b) 90 days after the date of termination other than for cause, or (c) the first anniversary after termination from service by reason of death or permanent disability (3) The reporting person's options are held by a living trust of which the reporting person and his wife are co-trustees /s/ James T. Willard 4/12/01 -------------------------------- ------- ** 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 provided 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
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