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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 | |
Grinnell David L. C/O THE BOSTON BEER COMPANY, INC. ONE DESIGN CENTER PLACE, SUITE 850 BOSTON, MA 02210 |
Vice President of Brewing |
Kathleen H. Wade under POA for the benefit of David L. Grinnell | 01/22/2013 | |
**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) | Under the Issuer's Employee Equity Incentive Plan, the restricted share transaction took place on January 17, 2013, with an effective grant date of January 1, 2013. |
(2) | This transaction involves the purchase of restricted shares by the Reporting Person under the Issuer's Employee Equity Incentive Plan. These restricted shares vest in five equal installments over a five year period, provided that the Reporting Person remains employed by Issuer as of the applicable vesting date. The first installment vests one year from grant date and the final installment vests five years from grant date. Restricted Stock Agreement shares have no expiration date. |
(3) | Under the Issuer's Employee Equity Incentive Plan, tenured employees may purchase restricted shares at a discounted price. |
(4) | The Reporting Person's unvested restricted shares were previously reported on Table II of the Reporting Person's Form 4 filings. This amount now includes all shares owned by the Reporting Person, including an aggregate of 1,587 unvested restricted shares that had previously been reported on Table II. |