SEC Form 4/A · accession 0000814453-15-000137
NEWELL BRANDS INC. · NWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John K Stipancich
Officer — EVP, Chief Financial Officer
Period of report
Dec 1, 2015
Accepted (ET)
Dec 3, 2015 · 11:32 am 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 StockF1,F2 | Feb 9, 2015 | M | 39,726 | $37.65 | A | 54,411 | D | |
| Common StockF1 | Feb 9, 2015 | F | 17,319 | $37.65 | D | 37,092 | D | |
| Common StockF1,F3 | Feb 9, 2015 | M | 14,713 | $37.65 | A | 51,805 | D | |
| Common StockF1 | Feb 9, 2015 | F | 4,991 | $37.65 | D | 46,814 | 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 UnitsF4,F5 | — | Feb 9, 2015 | M | 14,713 | D | Feb 9, 2015 | — | Common Stock | 14,713 | 0 | D |
Explanation of responses
- F1This Amended Form 4 is being filed solely to reflect a tax adjustment to the number of shares withheld. Due to an administrative error, 3,332 and 4,928 shares of Newell Rubbermaid Inc. common stock were overwithheld, respectively, in the reported transactions. Upon discovery of the error, these overwithheld shares were credited to the reporting person's account and reflected in the reporting person's total direct ownership.
- F2Acquired upon vesting of performance-based restricted stock units previously granted on February 8, 2012.
- F3Acquired upon vesting of time-based restricted stock units previously granted on February 8, 2012.
- F4Each restricted stock unit was the economic equivalent of one share of Newell Rubbermaid Inc. common stock.
- F5N/A