SEC Form 4 · accession 0001182489-16-000890
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen L Johnson
Director
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 4:36 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 | 12,917 | D | |
| Common SharesF1 | Jan 29, 2016 | A | 92 | $68.68 | A | 13,009 | D | |
| Common SharesF2 | Jan 31, 2016 | M | 1,173 | — | A | 14,182 | 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 | 143 | D | — | — | Common Shares | 143 | 0 | D |
| Deferred Stock UnitsF2,F4 | — | Jan 31, 2016 | M | 127 | D | — | — | Common Shares | 127 | 0 | D |
| Deferred Stock UnitsF2,F5 | — | Jan 31, 2016 | M | 141 | D | — | — | Common Shares | 141 | 0 | D |
| Deferred Stock UnitsF2,F6 | — | Jan 31, 2016 | M | 162 | D | — | — | Common Shares | 162 | 0 | D |
| Deferred Stock UnitsF2,F7 | — | Jan 31, 2016 | M | 153 | D | — | — | Common Shares | 153 | 0 | D |
| Deferred Stock UnitsF2,F8 | — | Jan 31, 2016 | M | 159 | D | — | — | Common Shares | 159 | 0 | D |
| Deferred Stock UnitsF2,F9 | — | Jan 31, 2016 | M | 141 | D | — | — | Common Shares | 141 | 0 | D |
| Deferred Stock UnitsF2,F10 | — | Jan 31, 2016 | M | 123 | D | — | — | Common Shares | 123 | 0 | D |
| Dividend Equivalent RightsF2,F3,F4,F5,F6,F7,F8,F9,F10 | — | Jan 31, 2016 | M | 24 | D | — | — | Common Shares | 24 | 161 | D |
Explanation of responses
- F1The Deferred Stock Units was issued to the reporting person in lieu of retainer in the amount of $6,250.
- F10On October 1, 2013, the reporting person was granted 126 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 146 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F4On April 1, 2011, the reporting person was granted 130 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F5On July 1, 2011, the reporting person was granted 144 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F6On October 3, 2011, the reporting person was granted 165 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F7On January 18, 2013, the reporting person was granted 156 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F8On April 1, 2013, the reporting person was granted 162 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.
- F9On July 1, 2013, the reporting person was granted 144 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2016.