SEC Form 4 · accession 0000814453-15-000002
NEWELL BRANDS INC. · NWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Tarchetti
Officer — EVP, Chief Development Officer
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 3:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000814453
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 2, 2015 | M | 54,820 | $37.86 | A | 129,223 | D | |
| Common Stock | Jan 2, 2015 | F | 26,891 | $37.86 | D | 102,332 | D | |
| Common Stock | Jan 2, 2015 | M | 45,683 | $37.86 | A | 148,015 | D | |
| Common Stock | Jan 2, 2015 | F | 25,501 | $37.86 | D | 122,514 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 2, 2015 | M | 54,820 | D | — | — | Common Stock | 54,820 | 45,683 | D |
| Restricted Stock UnitsF1,F2 | — | Jan 2, 2015 | M | 45,683 | D | — | — | Common Stock | 45,683 | 0 | D |
Explanation of responses
- F1Each restricted stock unit was the economic equivalent of one share of Newell Rubbermaid common stock.
- F2The reporting person previously met the stock price performance criteria applicable to the second and third tranches of the award. However, because the award was not permitted to vest any earlier than the second anniversary of the date of the grant the reporting person did not become fully vested in the award until January 2, 2015.