SEC Form 4 · accession 0001182489-18-000041
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Hanft
Director
Period of report
Jan 23, 2018
Accepted (ET)
Feb 1, 2018 · 8:50 am 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 30, 2018 | M | 211 | — | A | 43,123 | D | |
| Common SharesF1 | Jan 31, 2018 | M | 44 | — | A | 43,167 | D | |
| Common SharesF7 | Jan 31, 2018 | M | 99 | — | A | 43,266 | 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 UnitF1,F2 | — | Jan 30, 2018 | M | 18 | D | — | — | Common Shares | 18 | 1 | D |
| Deferred Stock UnitF1,F3 | — | Jan 31, 2018 | M | 1 | D | — | — | Common Shares | 1 | 0 | D |
| Dividend Equivalent RightsF1,F2 | — | Jan 30, 2018 | M | 193 | D | — | — | Common Shares | 193 | 341 | D |
| Dividend Equivalent RightsF1,F3,F4,F5,F6 | — | Jan 31, 2018 | M | 43 | D | — | — | Common Shares | 43 | 298 | D |
| Dividend Equivalent RightsF7,F8 | — | Jan 31, 2018 | M | 99 | D | — | — | Common Shares | 99 | 199 | D |
Explanation of responses
- F1Deferred stock units convert into common shares of the Issuer on a one-for-one basis.
- F2On January 30, 2015, the reporting person was granted 2,681 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2016.
- F3On January 30, 2015, the reporting person was granted 198 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2015.
- F4On April 1, 2015, the reporting person was granted 186 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2015.
- F5On July 1, 2015, the reporting person was granted 210 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2015.
- F6On October 1, 2015, the reporting person was granted 205 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2015.
- F7Restricted stock units convert into common shares of the Issuer on a one-for-one basis.
- F8On February 3, 2017, the reporting person was granted 4,399 restricted stock units, vesting on January 31, 2018.