1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right to Buy)
|
Â
(1)
|
09/26/2013 |
Common Stock
|
2,372
|
$
61.7448
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(2)
|
09/24/2014 |
Common Stock
|
2,372
|
$
67.1897
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(3)
|
09/29/2015 |
Common Stock
|
1,026
|
$
47.3192
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
09/30/2012 |
09/30/2016 |
Common Stock
|
2,408
|
$
35.6741
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(4)
|
02/22/2017 |
Common Stock
|
4,817
|
$
36.2468
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(5)
|
02/22/2021 |
Common Stock
|
3,011
|
$
51.0792
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(6)
|
10/04/2021 |
Common Stock
|
9,730
|
$
44.75
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
Â
(7)
|
02/21/2022 |
Common Stock
|
4,545
|
$
55.43
|
D
|
Â
|
Restricted Stock Unit
|
Â
(8)
|
Â
(8)
|
Common Stock
|
2,570
|
$
(9)
|
D
|
Â
|
Restricted Stock Unit
|
Â
(10)
|
Â
(10)
|
Common Stock
|
1,245
|
$
(9)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The options vested in three equal annual installments beginning on September 26, 2007. |
(2) |
The options vested in three equal annual installments beginning on September 24, 2008. |
(3) |
The options vested in three equal annual installments beginning on September 29, 2009. |
(4) |
The options vested as to 2,409 shares on February 22, 2012 and will vest as to the remaining 2,408 shares on February 22, 2013. |
(5) |
The options vested as to 1,004 shares on February 22, 2012 and will vest as to 1,004 shares on February 22, 2013 and 1,003 shares on February 22, 2014. |
(6) |
The options vest in three equal annual installments beginning on October 4, 2013. |
(7) |
The options vest in three equal annual installments beginning on February 21, 2013. |
(8) |
Payment of the award will be made in three equal installments on October 4, 2013, October 4, 2014, and October 4, 2015 if Mr. Fink remains employed through such dates, subject to special provisions in the event of death, disability or termination following a change in control. |
(9) |
Each restricted stock unit represents a contingent right to receive one share of Beam Inc. common stock. |
(10) |
Payment of the award will be made on or about February 21, 2015 if Mr. Fink remains employed through such date, subject to special provisions in the event of death, disability or termination following a change in control. |