SEC Form 4 · accession 0001182489-16-000889
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Hanft
Director
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 4:35 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 Shares | Jan 29, 2016 | A | 2,476 | $0.00 | A | 22,971 | D | |
| Common SharesF1 | Jan 29, 2016 | A | 183 | $68.68 | A | 23,154 | D | |
| Common SharesF2 | Jan 31, 2016 | M | 2,342 | — | A | 25,496 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2,F3 | — | Jan 31, 2016 | M | 284 | D | — | — | Common Shares | 284 | 0 | D |
| Deferred Stock UnitsF2,F4 | — | Jan 31, 2016 | M | 250 | D | — | — | Common Shares | 250 | 0 | D |
| Deferred Stock UnitsF2,F5 | — | Jan 31, 2016 | M | 282 | D | — | — | Common Shares | 282 | 0 | D |
| Deferred Stock UnitsF2,F6 | — | Jan 31, 2016 | M | 325 | D | — | — | Common Shares | 325 | 0 | D |
| Deferred Stock UnitsF2,F7 | — | Jan 31, 2016 | M | 306 | D | — | — | Common Shares | 306 | 0 | D |
| Deferred Stock UnitsF2,F8 | — | Jan 31, 2016 | M | 319 | D | — | — | Common Shares | 319 | 0 | D |
| Deferred Stock UnitsF2,F9 | — | Jan 31, 2016 | M | 282 | D | — | — | Common Shares | 282 | 0 | D |
| Deferred Stock UnitsF2,F10 | — | Jan 31, 2016 | M | 246 | D | — | — | Common Shares | 246 | 0 | D |
| Dividend Equivalent RightsF2,F3,F4,F5,F6,F7,F8,F9,F10 | — | Jan 31, 2016 | M | 48 | D | — | — | Common Shares | 48 | 163 | D |
Explanation of responses
- F1The Deferred Stock Units was issued to the reporting person in lieu of retainer in the amount of $12,500.
- F10On October 1, 2013, the reporting person was granted 252 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F2Deferred stock units convert into common shares of the Issuer on a one-for-one basis.
- F3On January 21, 2011, the reporting person was granted 290 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F4On April 1, 2011, the reporting person was granted 256 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F5On July 1, 2011, the reporting person was granted 288 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F6On October 3, 2011, the reporting person was granted 331 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F7On January 18, 2013, the reporting person was granted 312 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F8On April 1, 2013, the reporting person was granted 325 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F9On July 1, 2013, the reporting person was granted 288 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.