SEC Form 4 · accession 0001182489-17-000143
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy G. Mistretta
Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 6:48 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 SharesF1 | Jan 31, 2017 | M | 3,188 | — | A | 29,868 | 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 UnitsF1,F2 | — | Jan 31, 2017 | M | 2,259 | D | — | — | Common Shares | 2,259 | 0 | D |
| Deferred Stock UnitsF1,F3 | — | Jan 31, 2017 | M | 784 | D | — | — | Common Shares | 784 | 0 | D |
| Dividend Equivalent RightsF1,F2,F3 | — | Jan 31, 2017 | M | 145 | D | — | — | Common Shares | 145 | 192 | D |
Explanation of responses
- F1Deferred stock units convert into common shares of the Issuer on a one-for-one basis.
- F2On January 31, 2014, the reporting person was granted 2,367 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2015.
- F3On May 1, 2014, the reporting person was granted 821 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2015.