UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) (1) | Â (2) | 02/22/2017 | Beam Inc. Common Stock | 16,666 | $ 43.67 | D | Â |
Employee Stock Option (Right to Buy) (1) | Â (3) | 02/22/2021 | Beam Inc. Common Stock | 20,000 | $ 61.54 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mackenzie Mindy BEAM INC. 510 LAKE COOK ROAD DEERFIELD, IL 60015 |
 |  |  SVP & Chief HR Officer |  |
Todd M. Bloomquist, as Attorney-in-Fact for Mindy Mackenzie | 10/06/2011 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As a result of the Issuer's spin-off of Fortune Brands Home & Security, Inc. on October 3, 2011, these securities are subject to an intrinsic value adjustment as described in the Issuer's Long-Term Incentive Plans and the Employee Matters Agreement dated as of September 28, 2011. |
(2) | The options vest in two equal annual installments beginning on February 22, 2012. |
(3) | The options vest in three equal annual installments beginning on February 22, 2012. |