SEC Form 4 · accession 0001182489-19-000015
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
Jan 28, 2019
Accepted (ET)
Jan 31, 2019 · 1:16 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 | holding | — | — | — | 16,924 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F2,F3 | — | Jan 28, 2019 | A | 105 | A | — | — | Common Shares | 105 | 7,038 | D |
Explanation of responses
- F1Includes 179.002 shares previously held through the Phantom Stock which were distributed to the reporting person on January 7, 2019 and are now owned directly.
- 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.
- F4Excludes 179.002 shares previously held through the Phantom Stock which were distributed to the reporting person on January 7, 2019 and are now owned directly.