SEC Form 4 · accession 0001182489-16-001231
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
Aug 31, 2016
Accepted (ET)
Sep 13, 2016 · 9:08 am 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 31, 2016 | J | 7 | $74.52 | A | 9,688 | D | |
| Common Shares | Sep 9, 2016 | J | 9 | $80.007 | A | 9,697 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Sep 9, 2016 | A | 22 | A | — | — | Common Shares | 22 | 3,607 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.
- F2Shares 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.