Statement of Changes in Beneficial Ownership (4)
December 03 2020 - 04:05PM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 ] |
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)
12/2/2020
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(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Class A Common |
12/2/2020 |
|
S(1) |
|
100.00 |
D |
$945.27 (2) |
185974.00 (3) |
D |
|
Class A Common |
12/2/2020 |
|
S(1) |
|
253.00 |
D |
$947.03 (4) |
185721.00 (3) |
D |
|
Class A Common |
12/2/2020 |
|
S(1) |
|
200.00 |
D |
$948.44 (5) |
185521.00 (3) |
D |
|
Class A Common |
12/2/2020 |
|
S(1) |
|
100.00 |
D |
$952.00 |
185421.00 (3) |
D |
|
Class A Common |
|
|
|
|
|
|
|
40627.00 |
I |
By Foundation managed by Reporting
Person |
Class A Common |
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|
|
|
|
|
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33248.00 |
I |
By Descendant's Trust |
Class A Common |
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|
|
|
|
|
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23488.00 |
I |
Custodian for children under
UGTMA |
Class A Common |
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|
|
|
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|
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5000.00 |
I |
By Trust as Trustee |
Class A Common |
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|
|
|
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3656.00 |
I |
By spouse as custodian for children under
UGTMA |
Class A Common |
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|
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|
|
|
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2532.00 |
I |
By spouse in trust for
children |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 October 29, 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 100 shares is from $945.15
to $945.61. 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 253 shares is from $946.33
to $947.28. 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 200 shares is from $948.26
to $948.61. 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
|
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 |
|
Signatures
|
Michael G. Andrews under POA for the benefit of
Koch C. James |
|
12/3/2020 |
**Signature of
Reporting Person |
Date |