SEC Form 4 · accession 0001552781-18-000053
SCOTTS MIRACLE-GRO CO · SMG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Hagedorn
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 6:52 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 30, 2018 | A | 31,531 | $0.00 | A | 97,714 | D | |
| Common Shares | Jan 30, 2018 | F | 12,654 | $91.96 | D | 85,060 | D | |
| Common Shares | holding | — | — | — | 43,705 | I | By 401(K) Plan | |
| Common SharesF2 | holding | — | — | — | 1,864,791 | I | HPLP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 30, 2015, the reporting person was granted an award of 31,531 restricted stock units with vesting subject to the satisfaction of certain performance criteria. On January 30, 2018, the award settled.
- F2Pursuant to Exchange Act Rule 16a-1(a)(1), the reporting person may be deemed, solely for purposes of determining whether he is a beneficial owner of more than 10% of the common shares of the Issuer ("Common Shares"), to be the beneficial owner of the securities of the Issuer that are held by Hagedorn Partnership, L.P., a Delaware limited partnership in which the reporting person is a general partner (the "Partnership"). Represents the aggregate proportionate interest of the reporting person and those family members in whose holdings he may be deemed to have a pecuniary interest, in Common Shares held by the Partnership.