BEAM INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 49 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-06: Reporting owner Baldock Philip A; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-05: Reporting owner Newlands William A; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-01: Reporting owner Newlands William A; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-09-16: Reporting owner Rose Kenton R; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-11-06 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,154 42,306 owned after | $44.75 exercise price | 2013-11-08 | |
| 2013-11-05 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,459 56,406 owned after | $44.75 exercise price | 2013-11-07 | |
| 2013-11-01 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,745 77,865 owned after | $44.75 exercise price | 2013-11-04 | |
| 2013-09-16 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,272 0 owned after | $61.74 exercise price | 2013-09-18 | |
| 2013-09-13 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,729 0 owned after | $61.74 exercise price | 2013-09-17 | |
| 2013-09-05 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,527 8,031 owned after | $51.08 exercise price | 2013-09-05 | |
| 2013-09-05 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,942 9,880 owned after | $55.43 exercise price | 2013-09-05 | |
| 2013-09-05 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,023 0 owned after | $36.25 exercise price | 2013-09-05 | |
| 2013-09-04 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,393 10,558 owned after | $51.08 exercise price | 2013-09-05 | |
| 2013-09-03 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,244 0 owned after | $57.18 exercise price | 2013-09-05 | |
| 2013-09-03 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,542 0 owned after | $61.74 exercise price | 2013-09-05 | |
| 2013-09-03 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,846 0 owned after | $47.32 exercise price | 2013-09-05 | |
| 2013-09-03 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,039 0 owned after | $35.67 exercise price | 2013-09-05 | |
| 2013-09-03 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,144 14,951 owned after | $51.08 exercise price | 2013-09-05 | |
| 2013-08-20 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,389 0 owned after | $36.25 exercise price | 2013-08-21 | |
| 2013-08-20 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,607 802 owned after | $51.08 exercise price | 2013-08-21 | |
| 2013-08-20 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,450 2,898 owned after | $55.43 exercise price | 2013-08-21 | |
| 2013-08-12 | WILSON PETER M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,490 0 owned after | $61.56 exercise price | 2013-08-14 | |
| 2013-08-09 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,223 2,244 owned after | $57.18 exercise price | 2013-08-13 | |
| 2013-05-16 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 6,272 owned after | $61.74 exercise price | 2013-05-20 | |
| 2013-05-16 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,812 0 owned after | $61.74 exercise price | 2013-05-20 | |
| 2013-05-10 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,504 0 owned after | $47.32 exercise price | 2013-05-10 | |
| 2013-05-09 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,300 2,504 owned after | $47.32 exercise price | 2013-05-10 | |
| 2013-05-08 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,007 17,804 owned after | $47.32 exercise price | 2013-05-10 | |
| 2013-05-07 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $45.44 exercise price | 2013-05-09 | |
| 2013-05-07 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,639 16,272 owned after | $61.74 exercise price | 2013-05-09 | |
| 2013-05-03 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,622 26,811 owned after | $47.32 exercise price | 2013-05-07 | |
| 2013-03-28 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,372 0 owned after | $61.74 exercise price | 2013-04-01 | |
| 2013-03-28 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −408 0 owned after | $35.67 exercise price | 2013-04-01 | |
| 2013-03-28 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,605 3,212 owned after | $36.25 exercise price | 2013-04-01 | |
| 2013-03-21 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $45.44 exercise price | 2013-03-25 | |
| 2013-03-19 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,944 16,095 owned after | $51.08 exercise price | 2013-03-20 | |
| 2013-03-19 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,046 0 owned after | $35.67 exercise price | 2013-03-20 | |
| 2013-03-18 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,056 18,039 owned after | $51.08 exercise price | 2013-03-20 | |
| 2013-03-15 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,196 10,000 owned after | $45.44 exercise price | 2013-03-19 | |
| 2013-03-14 | Newlands William A Officer (SVP & President, NA) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,055 0 owned after | $36.25 exercise price | 2013-03-18 | |
| 2013-02-21 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,313 14,313 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,663 3,663 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,384 68,384 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,634 7,634 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,947 21,947 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Newlands William A Officer (SVP & President, NA) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,947 21,947 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,221 16,221 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,267 15,267 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Mackenzie Mindy Officer (SVP & Chief HR Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,405 12,405 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,588 8,588 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,405 12,405 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-21 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,771 4,771 owned after | $61.42 exercise price | 2013-02-25 | |
| 2013-02-20 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 51,186 owned after | $47.32 exercise price | 2013-02-20 |