SEC Form 4 · accession 0000950142-15-002560
Spectrum Brands Holdings, Inc. · SPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Maura
Officer — Managing Director and EVP · Director
Period of report
Dec 3, 2015
Accepted (ET)
Dec 4, 2015 · 4:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000109177
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 3, 2015 | M | 177,500 | $4.86 | A | 1,465,189 | D | |
| Common StockF1 | Dec 3, 2015 | S | 177,500 | $13.0926 | D | 1,287,689 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $4.86 | Dec 3, 2015 | M | 177,500 | D | — | Feb 14, 2022 | Common Stock | 177,500 | 0 | D |
Explanation of responses
- F1The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $13.00 to $13.27. Upon request of the staff of the Securities and Exchange Commission, HRG Group, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F2The original options were issued on February 14, 2012. Such options vest, or have vested, annually in equal installments over a period of four years beginning from October 1, 2011.