SEC Form 4 · accession 0001182489-16-001206
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael C Lukemire
Officer — President and COO
Period of report
Aug 5, 2016
Accepted (ET)
Aug 9, 2016 · 12:56 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 | Aug 5, 2016 | M | 17,886 | $36.86 | A | 34,256 | D | |
| Common Shares | Aug 5, 2016 | M | 21,038 | $20.59 | A | 55,294 | D | |
| Common SharesF1 | Aug 5, 2016 | S | 38,924 | $79.65 | D | 16,370 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $36.86 | Aug 5, 2016 | M | 17,886 | D | Nov 7, 2010 | Nov 6, 2017 | Common Shares | 17,886 | 0 | D |
| Stock Option (right to buy) | $20.59 | Aug 5, 2016 | M | 21,038 | D | Oct 8, 2011 | Oct 5, 2018 | Common Shares | 21,038 | 0 | 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 $79.50 to $79.79, 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.