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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 | ||||||||
Restricted Stock Unit (RSUs) | (3) | 01/31/2011 | M(1) | 13,000 | (4) | (4) | Common | 13,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OMTVEDT CRAIG P 520 LAKE COOK ROAD DEERFIELD, IL 60015 |
Senior Vice President & CFO |
Angela M. Pla, Attorney-in-Fact for Craig P. Omtvedt | 02/01/2011 | |
**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 the vesting and payment of a restricted stock unit award made under the Company's 2007 Long-Term Incentive Plan. |
(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 January 31, 2011. |
(3) | Each RSU converts to one share of the issuer's common stock. |
(4) | This RSUs award became vested and payable on January 31, 2011. |
Remarks: The remaining restricted stock units (RSUs) granted to Mr. Omtvedt on February 25, 2008 vested and became payable on January 31, 2011. Mr. Omtvedt was paid 13,000 shares of the issuer's common stock (one share for each RSU which vested). As a result, Mr. Omtvedt increased his direct ownership to 79,760 shares of the issuer's common stock. Mr. Omtvedt also owns options to purchase 611,596 shares of the issuer's common stock and the right to acquire 36,400 RSUs if certain conditions are met. He also owns 2,867 shares indirectly through his participation in the Fortune Brands, Inc. Retirement Savings Plan. |