SEC Form 4 · accession 0001127602-16-055353
J M SMUCKER Co · SJM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard K Smucker
Officer — Executive Chairman · Director
Period of report
Jun 8, 2016
Accepted (ET)
Jun 10, 2016 · 5:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091419
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Nov 3, 2015 | G | 2,175 | $0.00 | D | 639,403 | D | |
| Common Shares | Nov 3, 2015 | G | 870 | $0.00 | D | 641,578 | D | |
| Common SharesF1 | Jun 8, 2016 | A | 40,505 | $0.00 | A | 679,908 | D | |
| Common SharesF2 | Jun 8, 2016 | F | 17,713 | $132.46 | D | 662,195 | D | |
| Common SharesF3 | holding | — | — | — | 9,177 | I | By 401(k) | |
| Common SharesF4 | holding | — | — | — | 13,165 | I | By Esop | |
| Common SharesF5 | holding | — | — | — | 477,796 | I | By Trust Fbo Daughter | |
| Common SharesF5 | holding | — | — | — | 100,000 | I | By Wife | |
| Common SharesF5 | holding | — | — | — | 84,731 | I | by Wife as Trustee for the Benefit of Grandchildren | |
| Common SharesF5 | holding | — | — | — | 477,798 | I | Co-trustee Fbo Brother | |
| Common SharesF5 | holding | — | — | — | 477,798 | I | Co-trustee Fbo Sister |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock and restricted stock units granted pursuant to The J. M. Smucker Company 2010 Equity and Incentive Compensation Plan generally become unrestricted upon the fourth anniversary of the grant date. The Plan also provides that restricted stock and restricted stock units will vest immediately when a participant reaches the age of 60 and the participant has at least 10 years of service with the Company, although 50% of any such restricted stock awards continue to be subject to a 4-year retention period even in the event of retirement.
- F2Smucker common shares withheld by the Company to satisfy tax liability upon the vesting of restricted stock or restricted stock units, pursuant to The J. M. Smucker Company 2010 Equity and Incentive Compensation Plan.
- F3This amount includes shares acquired under (i) the Company's 401(k) plan since the date of the reporting person's last ownership report and (ii) the Company's dividend reinvestment plan as administered by its transfer agent.
- F4This amount includes shares acquired under the Company's dividend reinvestment plan, as administered by its transfer agent.
- F5I disclaim beneficial ownership of these shares.