SEC Form 4 · accession 0001140361-16-084140
BOSTON BEER CO INC · SAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C James Koch
Officer — Chairman · Director · 10% Owner
Period of report
Oct 28, 2016
Accepted (ET)
Oct 31, 2016 · 4:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000949870
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common | Oct 28, 2016 | M | 5,000 | $35.98 | A | 5,432 | D | |
| Class A CommonF1 | Oct 28, 2016 | S | 600 | $156.06 | D | 4,832 | D | |
| Class A CommonF2 | Oct 28, 2016 | S | 2,513 | $157.37 | D | 2,319 | D | |
| Class A CommonF3 | Oct 28, 2016 | S | 1,362 | $158.14 | D | 957 | D | |
| Class A CommonF4 | Oct 28, 2016 | S | 525 | $159.18 | D | 432 | D | |
| Class A Common | holding | — | — | — | 44,248 | I | By LLC managed by spouse | |
| Class A Common | holding | — | — | — | 23,486 | I | Custodian for children under UGTMA | |
| Class A Common | holding | — | — | — | 5,000 | I | By Trust as Trustee | |
| Class A Common | holding | — | — | — | 3,656 | I | By spouse as custodian for children under UGTMA | |
| Class A Common | holding | — | — | — | 2,532 | I | By spouse in trust for children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock OptionF5 | $35.98 | Oct 28, 2016 | M | 5,000 | A | Mar 1, 2008 | Dec 31, 2016 | Class A Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1The 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 $155.90 to $156.85. 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.
- F2The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 2,513 shares is from $156.95 to $157.85. 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.
- F3The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,362 shares is from $157.95 to $158.40. 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.
- F4The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 525 shares is from $159.00 to $159.30. 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.
- F5The option vested in five installments of 2,400 shares each: the first on March 1, 2008 and the last on January 1, 2012.