SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Rose Kenton R

(Last) (First) (Middle)
BEAM INC.
510 LAKE COOK ROAD

(Street)
DEERFIELD IL 60015

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/03/2011
3. Issuer Name and Ticker or Trading Symbol
BEAM INC [ NYSE: BEAM ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP & GC, CAO & Secretary
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Beam Inc. Common Stock 4,286 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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)(1) (2) 09/23/2012 Beam Inc. Common Stock 24,454 $46.78 D
Employee Stock Option (Right to Buy)(1) (3) 09/29/2013 Beam Inc. Common Stock 28,653 $54.75 D
Employee Stock Option (Right to Buy)(1) (4) 09/28/2014 Beam Inc. Common Stock 28,653 $68.89 D
Employee Stock Option (Right to Buy)(1) (5) 09/27/2012 Beam Inc. Common Stock 27,300 $82.16 D
Employee Stock Option (Right to Buy)(1) (6) 09/26/2013 Beam Inc. Common Stock 27,300 $74.39 D
Employee Stock Option (Right to Buy)(1) (7) 09/24/2014 Beam Inc. Common Stock 27,300 $80.95 D
Employee Stock Option (Right to Buy)(1) (8) 09/29/2015 Beam Inc. Common Stock 27,300 $57.01 D
Employee Stock Option (Right to Buy)(1) (9) 09/30/2016 Beam Inc. Common Stock 18,199 $42.98 D
Employee Stock Option (Right to Buy)(1) (10) 02/22/2017 Beam Inc. Common Stock 28,000 $43.67 D
Employee Stock Option (Right to Buy)(1) (11) 02/22/2021 Beam Inc. Common Stock 20,000 $61.54 D
Explanation of Responses:
1. As a result of the Issuer's spin-off of Fortune Brands Home & Security, Inc. on October 3, 2011, these securities are subject to an intrinsic value adjustment as described in the Issuer's Long-Term Incentive Plans and the Employee Matters Agreement dated as of September 28, 2011.
2. The options vested in three equal annual installments beginning on September 23, 2003.
3. The options vested in three equal annual installments beginning on September 29, 2004.
4. The options vested in three equal annual installments beginning on September 28, 2005.
5. The options vested in three equal annual installments beginning on September 27, 2006.
6. The options vested in three equal annual installments beginning on September 26, 2007.
7. The options vested in three equal annual installments beginning on September 24, 2008.
8. The options vested in three equal annual installments beginning on September 29, 2009.
9. The options vested as to 9,100 shares on September 30, 2011 and will vest as to the remaining 9,099 shares on September 30, 2012.
10. The options vest in three equal annual installments beginning on February 22, 2011.
11. The options vest in three equal annual installments beginning on February 22, 2012.
Todd M. Bloomquist, as Attorney-in-Fact for Kenton R. Rose 10/06/2011
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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