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OMB APPROVAL
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OMB Number 3235-0362
Expires: September 30, 1998
Estimated average burden
hours per response ....... 1.0
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 5
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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(f) of the Investment Company Act of 1940
[ ] Check this box if no longer subject of Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
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1. Name and Address of Reporting Person
Koch, C. James
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(Last) (First) (Middle)
c/o Boston Beer Company, Inc., 75 Arlington Street
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(Street)
Boston, Massachusetts 02116
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
The Boston Beer Company, Inc.
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Statement for Month/Year
December 2000
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X ] Director [ X ] 10% Owner
[X ] Officer (give title below) [ ] Other (specify below)
President and CEO
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7. Individual or Joint/Group Reporting
(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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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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Class A Common Stock 1/01/00 C 561 A 4.74538 868,738 D
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Class A Common Stock 1/01/01 C 448 A 5.0625 868,738 D
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
of Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Restricted Stock Cur Class A
Purchase (Note 1) 4.74538 l/l/94 A 2,807 rently 12/31/07 Common 2,807 4.7438 1,683 D
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Stock Option (Right Cur- Class A
to Buy) 0.01 12/31/94 A 2,927 rently 12/31/04 Common 2,927 0.01 2,927 D
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Restricted Stock Cur- Class A
Purchase (Note 1) 5.0625 1/1/99 A 2,237 rently 12/31/08 Common 2,237 5.0625 1,790 D
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Stock Option (Right Class A
to Buy) 8.4375 1/1/99 A 3,000 1/1/00 2/28/04 Common 3,000 8.4375 3,000 D
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Stock Option (Right Class A
to Buy) 11.2219 1/1/99 A 3,750 Note 2 12/31/08 Common 3,750 11.2219 3,750 D
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Stock Option (Right Class A
to Buy) 14.0906 1/1/99 A 3,750 Note 3 12/31/08 Common 3,750 14.0906 3,750 D
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Stock Option (Right Class A
to Buy) 16.875 1/1/99 A 4,500 Note 4 12/31/08 Common 4,500 16.875 4,500 D
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Stock Option (Right Class A
to Buy) 7.15625 1/1/00 A 6,000 Note 5 Note 7 Common 6,000 7.15625 6,000 D
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Stock Option (Right Class A
to Buy) 9.5178 1/1/00 A 7,500 Note 6 Note 7 Common 7,500 9.5178 7,500 D
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Stock Option (Right Class A
to Buy) 11.9509 1/1/00 A 7,500 Note 8 Note 7 Common 7,500 11.9509 7,500 D
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Stock Option (Right Class A
to Buy) 14.3125 1/1/00 A 9,000 Note 9 Note 7 Common 9,000 14.3125 7,500 D
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Restricted Stock Class A
Purchase (Note 1) 4.2938 1/1/00 A 4,307 Current 12/31/09 Common 4,307 14.2938 4,307 D
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Explanation of Responses:
Note 1: Restricted stock purchase purchase to the Investment Share
Program under the issuer's Employee Equity Incentive Plan.
Note 2: Of these 3,750 option shares, 3,000 vest as of 1/1/01 and 750 vest as
of 1/1/02
Note 3: Of these 3,750 option shares, 2,250 vest as of 1/1/02; 1,500 vest as
of 1/1/03
Note 4: Of these 4,500 option shares, 1,500 of these shares vest as of 1/1/03;
3,000 of these shares vest as of 1/1/04.
Note 5: All of these 6,000 option shares vest as of 1/1/01.
Note 6: Of these 7,500 option shares, 6,000 vest as of 1/1/02; 1,500 vest as of
1/1/03.
Note 7: These options will expire 13 days after the filing of the Form 10k
for the 2004 fiscal year
Note 8: Of these 7,500 option shares, 4,500 vest af of 1/1/03; 3,000 will vest
as of 1/1/04
Note 9: Of these 9,000 shares, 2,970 vest as of 1/1/04; 6,030 vest as of 1/1/05
/s/ C. James Koch February 14, 2001
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**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedures.
