Statement of Changes in Beneficial Ownership (4)
June 10 2020 - 4:01PM
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
*
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)
6/9/2020 |
(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 | 6/9/2020 | | S(1) | | 259.00 | D | $527.856 (2) | 278092.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 724.00 | D | $528.77 (4) | 277368.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 917.00 | D | $530.11 (5) | 276451.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 190.00 | D | $531.41 (6) | 276261.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 200.00 | D | $532.48 (7) | 276061.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 2086.00 | D | $533.71 (8) | 273975.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 2416.00 | D | $534.55 (9) | 271559.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 1775.00 | D | $535.45 (10) | 269784.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 1022.00 | D | $536.57 (11) | 268762.00 (3) | D | |
Class A Common | 6/9/2020 | | S(1) | | 411.00 | D | $537.93 (12) | 268351.00 (3) | D | |
Class A Common | 6/9/2020 | | S(13) | | 355.00 | D | $520.12 (14) | 50288.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 185.00 | D | $521.25 (15) | 50103.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 100.00 | D | $522.10 | 50003.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 160.00 | D | $525.06 (16) | 49843.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 474.00 | D | $527.75 (17) | 49369.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 99.00 | D | $528.86 | 49270.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 726.00 | D | $530.00 | 48544.00 | I | By Foundation managed by Reporting Person |
Class A Common | 6/9/2020 | | S(13) | | 719.00 | D | $535.00 | 47825.00 | I | By Foundation managed by Reporting Person |
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 | | | | | | | | 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 May 5, 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 259 shares is from $527.40 to $528.39. 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 724 shares is from $528.47 to $529.39. 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 917 shares is from $529.53 to $530.52. 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 190 shares is from $530.95 to $531.94. 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 200 shares is from $532.04 to $532.59. 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 2,086 shares is from $533.13 to $534.10. 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 2,416 shares is from $534.13 to $535.11. 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 1,775 shares is from $535.13 to $535.98. 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. |
(11) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,022 shares is from $536.16 to $536.95. 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. |
(12) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 411 shares is from $537.66 to $538.38. 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. |
(13) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Foundation on May 8, 2020. |
(14) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 355 shares is from $520.00 to $520.09. 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. |
(15) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 185 shares is from $521.06 to $521.46. 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. |
(16) | 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 $525.00 to $525.17. 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. |
(17) | The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 474 shares is from $527.20 to $528.12. 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 | | 6/10/2020 |
**Signature of Reporting Person | Date |
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