-----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, IVg0S7N1EgZzVEIyVvnRUZl5eDWNdqfElEMNZNPprIpvuf/iTzuGMPtyHGyvO6/7 wqYyL3YhdAB2x2FUq8XkCw== 0000950137-98-001870.txt : 19980505 0000950137-98-001870.hdr.sgml : 19980505 ACCESSION NUMBER: 0000950137-98-001870 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980416 FILED AS OF DATE: 19980504 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: 3 SEC ACT: SEC FILE NUMBER: 001-13705 FILM NUMBER: 98609469 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: MARIN LORI P CENTRAL INDEX KEY: 0001060491 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 677 LARCH AVE. CITY: ELMHURST STATE: IL ZIP: 60126-1581 3 1 FORM 3 1
OMB APPROVAL FORM 3 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0104 WASHINGTON, D.C. 20549 Expires: September 30, 1998 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Estimated average burden 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. Date of Event Re- | 4. Issuer Name AND Ticker or Trading Symbol | quiring Statement | KEEBLER FOODS COMPANY (KBL) | (Month/Day/Year) | Marin Lori P. | |------------------------------------------------------------- | 4/16/98 | | | | 5. Relationship of Reporting |6. If Amendment, Date of - ----------------------------------------------------------------------| Person(s) to Issuer | Original (Month/Day Year) (Last) (First) (Middle) | 3. IRS or Social Se- | (Check all applicable) | N/A | curity Number of | ____Director ___10% Owner | | Reporting Person | X Officer Other (specify| | (Voluntary) | --- (give --- below)| | | title below) |---------------------------- | | |7. Individual or Joint/Group | | | Filing (Check Applicable 677 Larch Avenue | | Treasurer | Line) - ------------------------------------------| | ------------------- | X Form filed by One (Street) | | |--- Reporting Person | | | Form filed by More | | |--- than One Reporting Elmhurst IL 60126-1581 | | | Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) | TABLE I - NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED | - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security | 2. Amount of Securities | 3. Ownership | 4. Nature of Indirect Beneficial (Instr. 4) | Beneficially Owned | Form: Direct | Ownership | (Instr. 4) | (D) or Indirect | (Instr. 5) | | (I) (Instr. 5) | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock | 900 | D | - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock | 100 | I | By son* - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ------------------------------------------------------------------------------------------------------------------------------------ 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, *ACCOUNT HELD AS: LORI MARIN, CUSTODIAN FOR LOGAN MAX MARIN see Instruction 5(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 Page 2 displays a currently valid OMB Number. SEC 1473 (7-97)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security | 2. Date Exer- |3. Title and Amount of Securities Underlying | 4. Conversion or (Instr. 4) | cisable and | Derivative Security | Exercise Price of | Expiration | (Instr. 4) | Derivative | Date | | Security | (Month/Day/Year) | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | Amount | | | | | or | | Date | Expira- | Title | Number | | Exer- | tion | | of | | cisable | Date | | Shares | - ------------------------------------------------------------------------------------------------------------------------------------ Option (to Buy) | 1 | 12/06 | Common Stock | 24,936 | $ 3.23 - ------------------------------------------------------------------------------------------------------------------------------------ Option (to Buy) | 2 | 02/08 | Common Stock | 21,645 | $24.00 - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ - ----------------------------------------------------------------------------------- 1. Title of Derivative Security | 5. Ownership | 6. Nature of Indirect | (Instr. 4) | Form of | Beneficial Ownership | | Derivative | (Instr. 5) | | Security: | | | Direct (D) | | | or | | | Indirect | | | (I) | | | Instr. (5) | | - ----------------------------------------------------------------------------------- Option (to Buy) | D | | - ----------------------------------------------------------------------------------- Option (to Buy) | D | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------- Explanation of Responses: (1) 17,455 options immediately exercisable; remainder vest over three-year period ending 02/01 (2) All options become exercisable on 02/03/03 unless exercisable sooner based on target value of Company's stock /s/ Lori P. Marin 4/20/98 ------------------------------- ----------- ** Intentional misstatements or omissions of facts constitute **Signature of Reporting Person Date 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 Page 2 valid OMB Number. SEC 1473 (7-96)
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