SEC Form 4 · accession 0000908834-15-000277
Spectrum Brands Legacy, Inc. · SPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Maura
Director
Period of report
Jun 11, 2015
Accepted (ET)
Jun 15, 2015 · 5:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001487730
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4 | Jun 11, 2015 | P | 3,000 | $96.96 | A | 229,287 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average price of 3,000 shares of Common Stock of the Issuer purchased by the Reporting Person in multiple transactions on June 11, 2015 at prices ranging from $96.93 to $96.98 per share. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F2Includes 931 restricted stock units that were awarded to Reporting Person on April 1, 2015 under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which are settled in shares of common stock of the Issuer and which are scheduled to vest in full on October 1, 2015 if Reporting Person is a director of the Issuer on such date.
- F3Includes 100,000 shares of restricted common stock of the Issuer awarded to Reporting Person on November 25, 2014 under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which are settled in shares of common stock of the Issuer and which are scheduled to vest in three installments as follows: (i) 20% of the award on the first anniversary of the date of grant (the "First Vesting Date"); (ii) 50% of the award on the second anniversary of the date of grant (the "Second Vesting Date"); and (iii) the remaining 30% of the award on the third anniversary of the date of grant (the "Third Vesting Date," and along with the First Vesting Date and Second Vesting Date, collectively the "Vesting Dates"). Any remaining unvested portion of the award shall be forfeited and cancelled if the Reporting Person voluntarily ceases to provide services either as a director or officer to the Issuer prior to the respective Vesting Date(s) for any unvested portion(s).
- F4Includes 2,320 restricted stock units that were awarded to Reporting Person on October 1, 2014 under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which are settled in shares of common stock of the Issuer, and which are scheduled to vest in full on October 1, 2015 if Reporting Person is a director of the Issuer on such date.