SEC Form 4 · accession 0000814453-15-000132
NEWELL BRANDS INC. · NWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William A Burke III
Officer — EVP, Chief Operating Officer
Period of report
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 4:53 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 | Nov 6, 2015 | M | 13,700 | $44.25 | A | 143,547 | D | |
| Common Stock | Nov 6, 2015 | F | 6,453 | $44.25 | D | 137,094 | 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,F3 | — | Nov 6, 2015 | M | 13,700 | D | — | — | Common Stock | 13,700 | 0 | D |
Explanation of responses
- F1Each restricted stock unit is the economic equivalent of one share of Newell Rubbermaid Inc. common stock.
- F2The reporting person previously met the stock price performance criteria applicable to the second tranche of the award. However, because the award was not permitted to vest any earlier than the third anniversary of the date of grant the reporting person did not become vested in the award until November 6, 2015.
- F3N/A