BEAM INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-13: Reporting owner ROCHE MARK A; Form 4; Security Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-30: Reporting owner CARBONARI BRUCE A; Form 4; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-09-30: Reporting owner HAUSBERG MARK; Form 4; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-09-30: Reporting owner Koley Patrick J.; Form 4; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-11-13 | ROCHE MARK A Officer (Sr. VP General Counsel & Secy) | 4 | Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,938 0 owned after | $32.58 | 2009-11-17 | |
| 2009-09-30 | CARBONARI BRUCE A Director, Officer (Chairman and CEO) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,500 135,500 owned after | $42.98 exercise price | 2009-10-02 | |
| 2009-09-30 | HAUSBERG MARK Officer (Sr. VP - Finance & Treasurer) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 13,000 owned after | $42.98 exercise price | 2009-10-02 | |
| 2009-09-30 | Koley Patrick J. Officer (Sr VP-Strategy & Corp. Dev.) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,600 17,600 owned after | $42.98 exercise price | 2009-10-02 | |
| 2009-09-30 | OMTVEDT CRAIG P Officer (Senior Vice President & CFO) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,300 53,300 owned after | $42.98 exercise price | 2009-10-02 | |
| 2009-09-30 | ROCHE MARK A Officer (Sr. VP General Counsel & Secy) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $42.98 exercise price | 2009-10-02 | |
| 2009-09-30 | Wiertel Edward A Officer (VP & Corporate Controller) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,200 12,200 owned after | $42.98 exercise price | 2009-10-02 | |
| 2009-09-21 | HAUSBERG MARK Officer (Sr. VP - Finance & Treasurer) | 4 | Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,196 0 owned after | $32.58 | 2009-09-24 | |
| 2009-05-04 | HAUSBERG MARK Officer (Sr. VP - Finance & Treasurer) | 4 | Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,135 0 owned after | $32.58 | 2009-05-05 |