0001209191-14-030945.txt : 20140502 0001209191-14-030945.hdr.sgml : 20140502 20140502205428 ACCESSION NUMBER: 0001209191-14-030945 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140430 FILED AS OF DATE: 20140502 DATE AS OF CHANGE: 20140502 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Beam Suntory Inc. CENTRAL INDEX KEY: 0000789073 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 133295276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 510 LAKE COOK ROAD CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8479488888 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: BEAM INC DATE OF NAME CHANGE: 20111006 FORMER COMPANY: FORMER CONFORMED NAME: FORTUNE BRANDS INC DATE OF NAME CHANGE: 19970609 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN BRANDS INC /DE/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fink Nicholas I. CENTRAL INDEX KEY: 0001549543 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09076 FILM NUMBER: 14811076 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD CITY: DEERFIELD STATE: IL ZIP: 60015 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-04-30 1 0000789073 Beam Suntory Inc. NYSE: BEAM 0001549543 Fink Nicholas I. BEAM INC., 510 LAKE COOK ROAD DEERFIELD IL 60015 0 1 0 0 SVP & President, APSA Common Stock, par value $3.125 2014-04-30 4 D 0 1081 83.50 D 0 D Common Stock, par value $3.125 2014-04-30 4 D 0 666 83.50 D 0 I Beam Inc. Retirement Savings Plan Employee Stock Option (Right to Buy) 67.19 2014-04-30 4 D 0 2372 D 2014-09-24 Common Stock 2372 0 D Employee Stock Option (Right to Buy) 36.25 2014-04-30 4 D 0 3212 D 2017-02-22 Common Stock 3212 0 D Employee Stock Option (Right to Buy) 51.08 2014-04-30 4 D 0 3011 D 2021-02-22 Common Stock 3011 0 D Employee Stock Option (Right to Buy) 44.75 2014-04-30 4 D 0 9730 D 2021-10-04 Common Stock 9730 0 D Employee Stock Option (Right to Buy) 55.43 2014-04-30 4 D 0 4545 D 2022-02-21 Common Stock 4545 0 D Employee Stock Option (Right to Buy) 59.36 2014-04-30 4 D 0 7371 D 2022-05-07 Common Stock 7371 0 D Employee Stock Option (Right to Buy) 61.42 2014-04-30 4 D 0 8588 D 2023-02-21 Common Stock 8588 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 295 D Common Stock 421 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 4752 D Common Stock 4752 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 2339 D Common Stock 2339 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 2198 D Common Stock 2198 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 2022 D Common Stock 2022 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 1245 D Common Stock 1245 0 D Restricted Stock Units 0.00 2014-04-30 4 D 0 1713 D Common Stock 1713 0 D Represents shares of common stock that were cancelled and converted into the right to receive $83.50 per share pursuant to the merger agreement among the issuer, Suntory Holdings Limited and SUS Merger Sub Limited (the "Merger Agreement"). Represents shares of common stock held in the reporting person's Beam Inc. Retirement Savings Plan account that were cancelled and converted into the right to receive $83.50 per share pursuant to the Merger Agreement. This option was cancelled and converted pursuant to the Merger Agreement into the right to receive a cash payment equal to $83.50 per share minus the exercise price, multiplied by the number of options. These restricted stock units ("RSUs") were cancelled and converted pursuant to the Merger Agreement into the right to receive a cash payment equal to $83.50 per share. N/A Pursuant to the transactions contemplated by the Merger Agreement, 4,752 RSUs are being cancelled for no consideration. Pursuant to the transactions contemplated by the Merger Agreement, these RSUs are being cancelled in exchange for a cash-based phantom unit award subject to continued employment, with a floor price of $66.97. Leslie W. Jensen, Attorney-in-Fact for Nicholas I. Fink 2014-05-02