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: 27 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-06: Reporting owner Shattock Matthew J; Form 3; Security Restricted Stock Unit; Transaction Holding.
- 2011-10-06: Reporting owner Shattock Matthew J; Form 3; Security Restricted Stock Unit; Transaction Holding.
- 2011-10-06: Reporting owner Shattock Matthew J; Form 3; Security Restricted Stock Unit; Transaction Holding.
- 2011-10-06: Reporting owner Hine C Clarkson; Form 3; Security Restricted Stock Unit; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-06 holding as of filing | Shattock Matthew J Director, Officer (President & CEO) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2011-10-06 | ||
| 2011-10-06 holding as of filing | Shattock Matthew J Director, Officer (President & CEO) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2011-10-06 | ||
| 2011-10-06 holding as of filing | Shattock Matthew J Director, Officer (President & CEO) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2011-10-06 | ||
| 2011-10-06 holding as of filing | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2011-10-06 | ||
| 2011-10-06 holding as of filing | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2011-10-06 | ||
| 2011-10-06 holding as of filing | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2011-10-06 | ||
| 2011-10-04 | 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) | +78,220 78,220 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | 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) | +22,350 22,350 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | 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) | +22,350 22,350 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,760 16,760 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,760 16,760 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | 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) | +16,760 16,760 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | Gourlay Ian Officer (SVP Operations & Supply Chain) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,220 9,220 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | Gaynor Donard P Officer (SVP Corporate Development) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,220 9,220 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | 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) | +9,220 9,220 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | Mackenzie Mindy Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,220 9,220 owned after | $0.00 | 2011-10-06 | |
| 2011-10-04 | 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) | +9,220 9,220 owned after | $0.00 | 2011-10-06 | |
| 2011-02-22 | Wiertel Edward A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,300 3,300 owned after | $0.00 | 2011-02-24 | |
| 2011-02-22 | HAUSBERG MARK Officer (Sr. VP - Finance & Treasurer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2011-02-24 | |
| 2011-02-22 | Koley Patrick J. Officer (Sr VP-Strategy & Corp. Dev.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $0.00 | 2011-02-24 | |
| 2011-02-22 | ROCHE MARK A Officer (Sr. VP General Counsel & Secy) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,900 10,900 owned after | $0.00 | 2011-02-24 | |
| 2011-02-22 | OMTVEDT CRAIG P Officer (Senior Vice President & CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,500 16,500 owned after | $0.00 | 2011-02-24 | |
| 2011-02-22 | CARBONARI BRUCE A Director, Officer (Chairman and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,600 53,600 owned after | $0.00 | 2011-02-24 | |
| 2011-01-31 | Wiertel Edward A Officer (VP & Corporate Controller) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600 0 owned after | $0.00 | 2011-02-01 | |
| 2011-01-31 | OMTVEDT CRAIG P Officer (Senior Vice President & CFO) | 4 | Restricted Stock Unit (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,000 0 owned after | $0.00 | 2011-02-01 | |
| 2011-01-31 | Koley Patrick J. Officer (Sr VP-Strategy & Corp. Dev.) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,933 4,933 owned after | $0.00 | 2011-02-01 | |
| 2011-01-03 | WESLEY NORMAN H Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.00 | 2011-01-05 |