SEC Form 4 · accession 0001140361-16-089103
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
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 4:10 pm EST
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 CommonF3 | Dec 7, 2016 | S | 3,800 | $173.49 | D | 166,200 | D | |
| Class A CommonF4 | Dec 7, 2016 | S | 10,300 | $174.23 | D | 155,900 | D | |
| Class A Common | Dec 7, 2016 | S | 100 | $174.95 | D | 155,800 | D | |
| Class A CommonF5 | Dec 7, 2016 | S | 800 | $176.08 | D | 155,000 | D | |
| Class A Common | Dec 7, 2016 | G | 22,000 | $0.00 | D | 133,000 | D | |
| Class A Common | Dec 7, 2016 | G | 7,500 | $0.00 | D | 125,500 | D | |
| Class A Common | Dec 7, 2016 | G | 22,000 | $0.00 | A | 22,000 | I | By Foundation managed by Reporting Person |
| 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
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 7, 2016.
- F2This transaction is a Form 5 transaction being voluntarily reported early. On the Transaction Date, the Reporting Person gifted 22,000 shares from his direct ownership into a foundation he controls. Also on the Transaction Date, the Reporting Person gifted 7,500 shares from his direct ownership to a charitable foundation for which he exercises no control or ownership.
- F3The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 3,800 shares is from $172.90 to $173.80. 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 10,300 shares is from $173.90 to $174.78. 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 price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 800 shares is from $176.00 to $176.20. 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.