SEC Form 4 · accession 0000814453-17-000017
NEWELL BRANDS INC. · NWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael B Polk
Officer — CEO
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 12:52 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 StockF1 | Feb 13, 2017 | M | 218,040 | $47.06 | A | 556,209 | D | |
| Common Stock | Feb 13, 2017 | F | 109,946 | $47.06 | D | 446,263 | D | |
| Common Stock | Feb 13, 2017 | M | 77,871 | $47.06 | A | 524,134 | D | |
| Common Stock | Feb 13, 2017 | F | 40,377 | $47.06 | D | 483,757 | D | |
| Common Stock | holding | — | — | — | 19,257 | I | By Trust | |
| Common Stock | holding | — | — | — | 68,090 | I | Michael B. Polk December 2012 5-year GRAT | |
| Common Stock | holding | — | — | — | 58,342 | I | Michael B. Polk December 2013 3-year GRAT | |
| Common Stock | holding | — | — | — | 96,500 | I | Michael B. Polk May 2015 3-year GRAT | |
| Common Stock | holding | — | — | — | 92,500 | I | Michael B. Polk August 2016 3-year GRAT | |
| Common Stock | holding | — | — | — | 92,500 | I | Michael B. Polk August 2016 5-year GRAT | |
| Common Stock | holding | — | — | — | 92,500 | I | Michael B. Polk August 2016 7-year GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 13, 2017 | M | 77,871 | D | Feb 12, 2017 | — | Common Stock | 77,871 | 0 | D |
Explanation of responses
- F1Acquired upon vesting of performance-based restricted stock units previously granted on February 12, 2014.
- F2Each restricted stock unit is the equivalent of one share of Newell Brands Inc. common stock.
- F3N/A