SEC Form 4 · accession 0001182489-16-001003
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise Stump
Officer — EVP, Global Human Resources
Period of report
Feb 29, 2016
Accepted (ET)
Mar 14, 2016 · 4:44 pm EDT
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 | Feb 29, 2016 | J | 8 | $62.12 | A | 22,937 | D | |
| Common Shares | Mar 10, 2016 | J | 9 | $73.0539 | A | 22,946 | D | |
| Common SharesF1 | Mar 11, 2016 | S | 8,812 | $73.2664 | D | 14,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2,F3 | — | Mar 10, 2016 | A | 16 | A | — | — | Common Shares | 16 | 2,513 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.25 to $73.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1.
- F2Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.
- F3Shares of phantom stock are payable in cash following termination of the reporting person's employment with Issuer. The reporting person may transfer his/her phantom stock account into an alternative investment account at any time.