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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options (Right to Buy) | $ 30.54 | 12/09/2010 | M(1) | 62,975 | 09/24/2002 | 09/24/2011 | Common Stock | 62,975 | $ 30.54 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROCHE MARK A 520 LAKE COOK ROAD DEERFIELD, IL 60015 |
Sr. VP General Counsel & Secy |
Lauren S. Tashma, Attorney-in-Fact for Mark A. Roche | 12/13/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Reflects the exercise of options issued under the issuer's Long-Term Incentive Plans. |
(2) | The number of shares reported as held by the Fortune Brands, Inc. Retirement Savings Plan Trust represents the undersigned's proportional beneficial interest in the common stock held in the trust as of December 9, 2010. |
Remarks: On December 9, 2010, Mr. Roche exercised options granted to him under the issuer's Long-Term Incentive Plans and subsequently sold the shares. After this transaction, Mr. Roche directly owns 65,483 shares of the issuer's common stock and options to purchase 457,725 shares. Mr. Roche also holds 36,900 restricted stock units, which will pay out in shares of Company stock upon vesting if certain performance conditions are met. He also indirectly owns 16,117 shares through his participation in the Fortune Brands, Inc. Retirement Savings Plan. |