BEAM INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 69 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-04-30: Reporting owner Newlands William A; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-04-30: Reporting owner Newlands William A; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-04-30: Reporting owner Newlands William A; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-04-30: Reporting owner Newlands William A; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-04-30 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,617 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,953 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,900 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −485 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,806 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −169 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,715 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,954 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,165 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,146 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −421 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,789 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,152 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,059 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,173 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,221 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,082 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,191 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −105 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,697 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Owen John F Officer (SVP Chief Supply Chain Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −295 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Owen John F Officer (SVP Chief Supply Chain Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,752 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Owen John F Officer (SVP Chief Supply Chain Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,989 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mackenzie Mindy Officer (SVP&Chief Performance Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,175 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mackenzie Mindy Officer (SVP&Chief Performance Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,247 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mackenzie Mindy Officer (SVP&Chief Performance Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,146 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mackenzie Mindy Officer (SVP&Chief Performance Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −295 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Mackenzie Mindy Officer (SVP&Chief Performance Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,752 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −274 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,412 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,175 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,518 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,146 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,617 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,953 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,900 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −485 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,806 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −295 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,752 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,339 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,198 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,022 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,245 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,713 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −316 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,091 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,663 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,059 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,173 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,650 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,041 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,169 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,588 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,146 0 owned after | no price filed | 2014-05-02 | |
| 2014-04-30 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,333 0 owned after | no price filed | 2014-05-02 | |
| 2014-02-25 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,210 7,210 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,407 5,407 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Fink Nicholas I. Officer (SVP & President, APSA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,047 5,047 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Owen John F Officer (SVP Chief Supply Chain Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,047 5,047 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Mackenzie Mindy Officer (SVP&Chief Performance Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,047 5,047 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,686 4,686 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,884 2,884 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,238 28,238 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,802 1,802 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,291 8,291 owned after | $0.00 | 2014-02-27 | |
| 2014-02-25 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,291 8,291 owned after | $0.00 | 2014-02-27 | |
| 2014-02-13 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,312 0 owned after | $0.00 | 2014-02-18 | |
| 2014-01-31 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,132 0 owned after | $0.00 | 2014-02-04 |