SEC Form 4 · accession 0001127602-17-021785

J M SMUCKER Co · SJM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice Chair and CFO

Period of report

Jun 15, 2017

Accepted (ET)

Jun 19, 2017 · 5:20 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^F1	Jun 15, 2017	A	8,548	$0.00	A	52,520	D
Common Shares	holding	—	—		—	5,060	I	By 401(k)
Common Shares^F2	holding	—	—		—	425	I	by Daughter-Karli
Common Shares^F2	holding	—	—		—	425	I	by Daughter-Kristi
Common Shares	holding	—	—		—	4,284	I	By Esop

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option Common Shares^F3	$111.86	Jun 15, 2017	A	25,000	A	Jun 15, 2017	Mar 19, 2025	Common Shares	25,000	25,000	D

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.
F2I disclaim beneficial ownership of these shares.
F3On March 19, 2015, the reporting person was granted a performance-based non-statutory stock option of 75,000 shares of common stock. The option vests in 3 equal annual installments based on the Company's "synergy realization" and EBITDA performance criteria for each of the years ending April 30, 2016, 2017 and 2018. The "synergy realization" target for the year ending April 30, 2017 was met, resulting in vesting of the option as to 25,000 shares.