Statement of Changes in Beneficial Ownership (4)
April 24 2020 - 4:03PM
Edgar (US Regulatory)
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
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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KOCH C JAMES |
2. Issuer Name and Ticker or Trading Symbol
BOSTON BEER CO INC
[
SAM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman |
(Last)
(First)
(Middle)
C/O THE BOSTON BEER COMPANY, ONE DESIGN CENTER PLACE, SUITE 850 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/23/2020 |
(Street)
BOSTON, MA 02210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common | 4/23/2020 | | S(1) | | 4310.00 | D | $420.50 (2) | 198341.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 3012.00 | D | $421.50 (4) | 195329.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 1078.00 | D | $422.70 (5) | 194251.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 1290.00 | D | $423.22 (6) | 192961.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 160.00 | D | $424.18 (7) | 192801.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 50.00 | D | $425.00 | 192751.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 100.00 | D | $426.48 | 192651.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 303.00 | D | $430.48 (8) | 192348.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 3172.00 | D | $431.76 (9) | 189176.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 1534.00 | D | $432.77 (10) | 187642.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 2540.00 | D | $433.98 (11) | 185102.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 577.00 | D | $435.14 (12) | 184525.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 764.00 | D | $435.77 (13) | 183761.00 (3) | D | |
Class A Common | 4/23/2020 | | S(1) | | 410.00 | D | $437.02 (14) | 183351.00 (3) | D | |
Class A Common | | | | | | | | 44248.00 | I | By LLC managed by spouse |
Class A Common | | | | | | | | 23486.00 | I | Custodian for children under UGTMA |
Class A Common | | | | | | | | 65245.00 | I | By Foundation managed by Reporting Person |
Class A Common | | | | | | | | 5000.00 | I | By Trust as Trustee |
Class A Common | | | | | | | | 3656.00 | I | By spouse as custodian for children under UGTMA |
Class A Common | | | | | | | | 2532.00 | I | By spouse in trust for children |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 4, 2020. |
(2) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 4,310 shares is from $420.00 to $420.98. 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. |
(3) | The shares reported include 343 shares of restricted stock subject to vesting conditions. |
(4) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 3,012 shares is from $421.00 to $421.95. 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 1,078 shares is from $422.00 to $422.96. 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 price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,290 shares is from $423.00 to $423.50. 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. |
(7) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 160 shares is from $424.00 to $424.57. 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. |
(8) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 303 shares is from $430.10 to $430.91. 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. |
(9) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 3,172 shares is from $431.28 to $432.23. 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. |
(10) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,534 shares is from $432.40 to $433.34. 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. |
(11) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 2,540 shares is from $433.40 to $434.38. 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. |
(12) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 577 shares is from $434.44 to $435.43. 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. |
(13) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 764 shares is from $435.51 to $436.42. 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. |
(14) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 410 shares is from $436.85 to $437.62. 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. |
Reporting Owners
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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 |
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Signatures
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Michael G. Andrews under POA for the benefit of Koch C. James | | 4/24/2020 |
**Signature of Reporting Person | Date |
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