SEC Form 4 · accession 0001182489-16-000825
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katherine Littlefield Hagedorn
Director · 10% Owner
Period of report
Jan 18, 2016
Accepted (ET)
Jan 21, 2016 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000825542
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Jan 18, 2016 | M | 3,010 | — | A | 5,691 | D | |
| Common SharesF2 | holding | — | — | — | 2,861,281 | I | HPLP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1,F3 | — | Jan 18, 2016 | M | 2,944 | D | — | — | Common Shares | 2,944 | 0 | D |
| Dividend Equivalent RightsF1,F3 | — | Jan 18, 2016 | M | 66 | D | — | — | Common Shares | 66 | 187 | D |
Explanation of responses
- F1Deferred stock units convert into common shares of the Issuer on a one-for-one basis.
- F2Pursuant to Exchange Act Rule 16a-1(a)(1), the reporting person may be deemed, solely for purposes of determining whether she is a beneficial owner of more than 10% of the common shares of the Issuer ("Common Shares"), to be the beneficial owner of the securities of the Issuer that are held by Hagedorn Partnership, L.P., a Delaware limited partnership in which the reporting person is a general partner (the "Partnership"). Represents the aggregate proportionate interest of the reporting person and those family members in whose holdings she may be deemed to have a pecuniary interest, in Common Shares held by the Partnership.
- F3On January 18, 2013, the reporting person was granted 3,010 deferred stock units, with accruing dividend equivalent rights, vesting on January 18, 2016.