Statement of Changes in Beneficial Ownership (4)
September 14 2016 - 4:12PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
ROPER MARTIN F
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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
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and C.E.O.
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(Last)
(First)
(Middle)
C/O THE BOSTON BEER COMPANY, INC., ONE DESIGN CENTER PLACE, SUITE 850
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/13/2016
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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
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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
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9/13/2016
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M
(1)
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10000
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A
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$43.55
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42273
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D
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Class A Common
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9/13/2016
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S
(1)
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600
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D
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$162.61
(2)
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41673
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D
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Class A Common
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9/13/2016
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S
(1)
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1500
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D
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$163.84
(3)
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40173
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D
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Class A Common
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9/13/2016
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S
(1)
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2102
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D
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$164.72
(4)
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38071
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D
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Class A Common
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9/13/2016
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S
(1)
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1400
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D
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$165.64
(5)
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36671
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D
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Class A Common
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9/13/2016
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S
(1)
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1300
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D
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$167.53
(6)
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35371
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D
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Class A Common
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9/13/2016
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S
(1)
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1458
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D
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$168.42
(7)
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33913
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D
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Class A Common
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9/13/2016
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S
(1)
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400
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D
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$170.10
(8)
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33513
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D
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Class A Common
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9/13/2016
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S
(1)
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640
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D
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$171.09
(9)
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32873
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D
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Class A Common
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9/13/2016
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S
(1)
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400
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D
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$172.85
(10)
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32473
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D
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Class A Common
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9/13/2016
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S
(1)
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200
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D
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$173.84
(11)
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32273
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Class A Common Stock Option
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$43.55
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9/13/2016
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M
(1)
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10000
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8/13/2013
(1)
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8/11/2017
(1)
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Class A Common
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180000
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$0
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67157
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D
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Explanation of Responses:
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(
1)
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The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 29, 2016. The Rule 10b5-1 trading plan and the transactions contemplated thereby were approved by unanimous consent of the Class B Stockholders of the Company.
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(
2)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 600 shares is from $162.11 to $163.06. 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.
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(
3)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,500 shares is from $163.25 to $164.20. 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.
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(
4)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 2,102 shares is from $164.31 to $165.29. 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.
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(
5)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,400 shares is from $165.37 to $166.23. 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.
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(
6)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,300 shares is from $166.94 to $167.89. 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.
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(
7)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 1,458 shares is from $168.03 to $168.84. 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.
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(
8)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 400 shares is from $169.56 to $170.55. 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.
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(
9)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 640 shares is from $170.58 to $171.43. 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.
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(
10)
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The price shown is the weighted average sale price for the transactions reported on this line. The range of sale prices for the 400 shares is from $172.48 to $173.43. 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.
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(
11)
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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 $173.62 to $174.06. 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ROPER MARTIN F
C/O THE BOSTON BEER COMPANY, INC.
ONE DESIGN CENTER PLACE, SUITE 850
BOSTON, MA 02210
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X
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President and C.E.O.
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Signatures
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Michael G. Andrews under POA for the benefit of Martin F. Roper
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9/14/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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