|
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
|
1. Name and Address of Reporting Person
*
CARBONARI BRUCE A |
2. Issuer Name
and
Ticker or Trading Symbol
FORTUNE BRANDS INC [ FO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chairman and CEO |
|
520 LAKE COOK ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
|
DEERFIELD, IL 60015 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
|
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, Par Value $3.125 | 8/1/2011 | A (1) | 8335 | A | $59.99 | 98708 | D | |||
| Common Stock, Par Value $3.125 | 8/1/2011 | F (2) | 6911 | D | $59.99 | 91797 | D | |||
| Common Stock, Par Value $3.125 | 14999 (3) | I | By Fortune Brands, Inc. Retirement Savings Plan Trust | |||||||
|
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
|
Remarks:
Pursuant to a special award made in July 2009 under the Company's long-term incentive plan, on August 1, 2011, Mr. Carbonari was awarded $1,000,000, half of which was paid in company stock and half paid in cash. Under the terms of the award, if Mr. Carbonari met certain performance goals, one-half of the award vested on August 1, 2010 and August 1, 2011, respectively. As a result, on August 1, 2011, Mr. Carbonari received a grant of 8,335 shares of the issuer's common stock. He elected to have the Company withhold 6,911 shares to pay taxes. After this transaction, Mr. Carbonari increased his direct stock ownership to 91,797 shares of the issuer's common stock. He continues to own options to purchase 1,466,190 shares of the issuer's common stock and 149,000 restricted stock units. In addition, he indirectly owns 14,999 shares of the issuer's common stock through his participation in the issuer's retirement savings plan. |
|
Reporting Owners
|
|||||
| Reporting Owner Name / Address |
|
||||
| Director | 10% Owner | Officer | Other | ||
|
CARBONARI BRUCE A
520 LAKE COOK ROAD DEERFIELD, IL 60015 |
X |
|
Chairman and CEO |
|
|
|
Signatures
|
||
| /s/ Angela M. Pla, Attorney-in-Fact for Bruce A. Carbonari | 8/3/2011 | |
| ** Signature of Reporting Person |
Date
|
|
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. | |