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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 | ||||||||
Class B Common | (6) | 05/07/2014 | C | 100,000 | (6) | (6) | Class A Common | 100,000 | (6) | 3,727,355 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KOCH C JAMES C/O THE BOSTON BEER COMPANY ONE DESIGN CENTER PLACE, SUITE 850 BOSTON, MA 02210 |
X | X | Chairman |
Kathleen H. Wade under POA for the benefit of C. James Koch | 05/12/2014 | |
**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 price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 600 shares is from $232.00 to $232.03. The Filing Person will provide full information regarding the number of shares sold at each separate price upon request of the SEC, the Registrant, or a shareholder of the Registrant. |
(2) | Includes 3,399 and 2,833 shares vested under the Company's Investment Share Program by Reporting Person on January 1, 2005 and January 1, 2006, and reported at the time of vesting, but due to mathematical error have not been included in total shares beneficially owned reported on Section 16 filings since those respective dates. |
(3) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,000 shares is from $233.00 to $232.60. The Filing Person will provide full information regarding the number of shares sold at each separate price upon request of the SEC, the Registrant, or a shareholder of the Registrant. |
(4) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 900 shares is from $234.00 to $234.74. The Filing Person will provide full information regarding the number of shares sold at each separate price upon request of the SEC, the Registrant, or a shareholder of the Registrant. |
(5) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 500 shares is from $235.00 to $235.50. The Filing Person will provide full information regarding the number of shares sold at each separate price upon request of the SEC, the Registrant, or a shareholder of the Registrant. |
(6) | The Reporting Person converted 100,000 shares of Class B Common Stock, resulting in the acquisition of 100,000 shares of Class A Common Stock. The Class B Common Stock is convertible into Class A Common Stock at any time on a one-for-one basis, and has no expiration date. This Form 4 is being amended to reflect this conversion, which was omitted from the original filing due to administrative oversight. |