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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) | $ 32.58 | 09/21/2009 | M(1) | 2,196 | 11/15/2000 | 11/15/2009 | Common Stock | 2,196 | $ 32.58 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAUSBERG MARK 520 LAKE COOK ROAD DEERFIELD, IL 60015 |
Sr. VP - Finance & Treasurer |
/s/ Angela M. Pla, Attorney-in-Fact for Mark Hausberg | 09/24/2009 | |
**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) | Reflects the withholding by the issuer of shares having a fair market value equal to the exercise price of the option. |
(3) | 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 September 21, 2009. |
Remarks: On September 21, 2009, Mr. Hausberg exercised 2,196 options granted to him under the issuer's Long-Term Incentive Plans. 1,563 shares were withheld in payment of the exercise price. As a result of this transaction, Mr. Hausberg increased his direct ownership to 28,893 shares of the issuer's common stock. Mr. Hausberg holds options to purchase 231,938 shares and he has the right to acquire 11,000 restricted stock units if certain conditions are met. He indirectly holds 1,300 shares of the issuer's common stock through his participation in the Fortune Brands Retirement Savings Plan. |