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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wiertel Edward A 520 LAKE COOK ROAD DEERFIELD, IL 60015 |
SVP-Finance |
/s/ Angela M. Pla, Attorney-in-Fact for Edward A. Wiertel | 10/11/2011 | |
**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 restricted stock units payable in shares of the Company's common stock under the issuer's Long-Term Incentive Plan. Purusant to the Employee Matters Agreement between Fortune Brands Home & Security, Inc. ("FBHS") and Beam Inc. (f/k/a Fortune Brands, Inc.) dated September 28, 2011 (the "EMA"), each restricted stock unit held by the reporting person immediately before the spin-off of FBHS that was granted to the reporting person pursuant to an equity plan of Fortune Brands, Inc. has been converted into a restricted stock unit of FBHS, on substantially the same terms. Each restricted stock unit vests on the third anniversary of the original grant date (the award granted in 2009 vests in January 2012, the award granted in 2010 vests in January 2013 and the award granted in 2011 vests in January 2014), if Mr. Wiertel remains employed with the Company through such dates. |