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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 Units (2) | (3) | 02/23/2009 | A | 13,800 | (4) | (4) | Common | 13,800 | $ 0 | 13,800 | 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 |
Angela M. Pla, Attorney-in-Fact for Mark A. Roche | 02/25/2009 | |
**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) | 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 February 23, 2009. |
(2) | Reflects the grant of restricted stock unit awards payable in shares of the Company's common stock under the issuer's 2007 Long-Term Incentive Plan. |
(3) | Each restricted stock unit represents a contingent right to receive one share of common stock. |
(4) | Full Payment of the award will be made in the form of shares in 2012 if Mr. Hausberg (a) remains employed with the Company through December 31, 2011 and certain performance goals are met (b)complies with a non-compete in the event of retirement, or (c) in the event death or disability. |
Remarks: On February 23, 2009, Mr. Roche was granted an award of 13,800 restricted stock units under the issuer's 2007 Long-Term Incentive Plan. Each restricted stock unit represents the right to be paid one share of the issuer's common stock. Mr. Roche continues to directly own 62,755 shares of issuer's common stock. Mr. Roche also owns options to purchase 458,564 shares of issuer's common stock and 26,700 restricted stock units. In addition, he indirectly owns 16,379 shares of issuer's stock through his participation in the Fortune Brands Retirement Savings Plan. |