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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 1.0752 | (3) | 04/02/2019 | Common Stock | 12,500 | 12,500 | D | ||||||||
Stock Option (right to buy) | $ 37.2 | (4) | 04/13/2017 | Common Stock | 16,666 | 16,666 | D | ||||||||
Stock Option (right to buy) | $ 25.38 | 12/31/2006 | 02/22/2016 | Common Stock | 16,666 | 16,666 | D | ||||||||
Stock Option (right to buy) | $ 25.86 | (5) | 03/15/2015 | Common Stock | 25,000 | 25,000 | D | ||||||||
Stock Option (right to buy) | $ 21.72 | (6) | 10/24/2013 | Common Stock | 8,333 | 8,333 | D | ||||||||
Stock Option (right to buy) | $ 14.7 | (7) | 02/11/2013 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Option (right to buy) | $ 9.9 | 12/31/2001 | 12/30/2011 | Common Stock | 4,166 | 4,166 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WAGENHEIM STEVEN J 321 WESTWOOD DRIVE NORTH MINNEAPOLIS, MN 55422 |
X | President/CEO |
/s/ Monica A. Underwood, attorney-in-fact | 05/20/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Brewing Ventures LLC, a Minnesota limited liability company, distributed 69,271 shares of the issuer's Common Stock to Arthur E. Pew III, one of Brewing Ventures' members, in a redemption of his interest in Brewing Ventures. |
(2) | Steven J. Wagenheim is a member of Brewing Ventures LLC and owns approximately 71.4% of its membership interests. As a result, the Reporting Person may be deemed to be the indirect beneficial owner of the securities held by such entity. |
(3) | This option vests in three equal annual installments commencing on April 2, 2010. |
(4) | This option vested in three equal annual installments commencing on April 13, 2008. |
(5) | This option vested with respect to 12,500 shares on March 15, 2005, 8,333 shares on March 15, 2007, and 4,1666 shares on March 15, 2008. |
(6) | This option vested in four equal annual installments commencing on October 24, 2004. |
(7) | This option vested in four equal annual installments commencing on February 11, 2003. |