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: 20 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-31: Reporting owner Hine C Clarkson; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-31: Reporting owner Shattock Matthew J; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-06-08: Reporting owner Mierzwicki Leo A; Form 4; Security Restricted Stock Unit (RSU); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-05-09: Reporting owner Fink Nicholas I.; Form 3; Security Restricted Stock Unit; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-31 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,780 0 owned after | $0.00 | 2013-01-03 | |
| 2012-12-31 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,203 0 owned after | $0.00 | 2013-01-03 | |
| 2012-06-08 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Unit (RSU) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,082 4,082 owned after | $0.00 | 2012-06-12 | |
| 2012-05-09 holding as of filing | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2012-05-09 | ||
| 2012-05-09 holding as of filing | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2012-05-09 | ||
| 2012-05-07 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,022 2,022 owned after | $0.00 | 2012-05-09 | |
| 2012-02-21 | 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) | +4,059 4,059 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +4,059 4,059 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +2,944 2,944 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +3,247 3,247 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | Mierzwicki Leo A Officer (VP & Global Controller) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,191 1,191 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +5,953 5,953 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +5,953 5,953 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +3,518 3,518 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +18,041 18,041 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | 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) | +2,165 2,165 owned after | $0.00 | 2012-02-23 | |
| 2012-02-21 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,059 4,059 owned after | $0.00 | 2012-02-23 | |
| 2012-02-09 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Unit (Performance Award) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,643 0 owned after | $0.00 | 2012-02-13 | |
| 2012-02-09 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit (Performance Award) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,264 0 owned after | $0.00 | 2012-02-13 | |
| 2012-01-31 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,855 0 owned after | $0.00 | 2012-02-02 |