SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Heppner John N

(Last) (First) (Middle)
520 LAKE COOK ROAD

(Street)
DEERFIELD IL 60015

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Fortune Brands Home & Security, Inc. [ FBHS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President-Storage & Security
3. Date of Earliest Transaction (Month/Day/Year)
11/12/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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
Common Stock, Par Value $0.01 11/12/2012 M 3,384 A $12.2391 89,084(1) D
Common Stock, Par Value $0.01 11/12/2012 M 19,923 A $15.4 109,007(1) D
Common Stock, Par Value $0.01 11/12/2012 M 47,457 A $12.7443 156,464(1) D
Common Stock, Par Value $0.01 11/12/2012 M 74,553 A $9.608 231,017(1) D
Common Stock, Par Value $0.01 11/12/2012 M 49,111 A $9.7622 280,128(1) D
Common Stock, Par Value $0.01 11/12/2012 S 2,671 D $28.005(2) 277,457(1) D
Common Stock, Par Value $0.01 11/12/2012 S 191,757 D $27.904(3) 85,700(1) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Options (Right to Buy) $12.2391 11/12/2012 M 3,384 09/29/2004 09/29/2013 Common Stock 3,384 $0 0 D
Options (Right to Buy) $15.4 11/12/2012 M 19,923 09/28/2005 09/28/2014 Common Stock 19,923 $0 0 D
Options (Right to Buy) $12.7443 11/12/2012 M 47,457 09/29/2009 09/29/2015 Common Stock 47,457 $0 0 D
Options (Right to Buy) $9.608 11/12/2012 M 74,553 09/30/2010 09/30/2016 Common Stock 74,553 $0 15,819 D
Options (Right to Buy) $9.7622 11/12/2012 M 49,111 02/22/2011 02/22/2017 Common Stock 49,111 $0 109,175 D
Explanation of Responses:
1. Includes a total of 85,700 restricted stock units that have not yet vested.
2. The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $28.00 to $28.03, inclusive. The reporting person undertakes to provide to the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold.
3. The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $27.90 to $27.97, inclusive. The reporting person undertakes to provide to the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold.
/s/ Angela M. Pla, Attorney-in-Fact for John N. Heppner 11/13/2012
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.