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SCOTTS MIRACLE-GRO CO — Director's Dealing 2011
Oct 13, 2011
31301_dirs_2011-10-13_6433603f-19f1-4dea-b67c-4dff431ddf9c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SCOTTS MIRACLE-GRO CO (SMG)
CIK: 0000825542
Period of Report: 2011-10-11
Reporting Person: HAGEDORN JAMES (Director, Chairman and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-10-11 | Common Shares | M | 63700 | — | Acquired | 167441.905 | Direct |
| 2011-10-11 | Common Shares | S | 28500 | $44.88 | Disposed | 103741.905 | Direct |
| 2011-10-11 | Common Shares | M | 148715 | $16.8 | Acquired | 252456.905 | Direct |
| 2011-10-11 | Common Shares | S | 200 | $44.51 | Disposed | 252256.905 | Direct |
| 2011-10-11 | Common Shares | S | 300 | $44.52 | Disposed | 251956.905 | Direct |
| 2011-10-11 | Common Shares | S | 1405 | $44.53 | Disposed | 250551.905 | Direct |
| 2011-10-11 | Common Shares | S | 6449 | $44.54 | Disposed | 244102.905 | Direct |
| 2011-10-11 | Common Shares | S | 5484 | $44.55 | Disposed | 238618.905 | Direct |
| 2011-10-11 | Common Shares | S | 2015 | $44.56 | Disposed | 236603.905 | Direct |
| 2011-10-11 | Common Shares | S | 100 | $44.5657 | Disposed | 236503.905 | Direct |
| 2011-10-11 | Common Shares | S | 3200 | $44.57 | Disposed | 233303.905 | Direct |
| 2011-10-11 | Common Shares | S | 1613 | $44.58 | Disposed | 231690.905 | Direct |
| 2011-10-11 | Common Shares | S | 58 | $44.585 | Disposed | 231632.905 | Direct |
| 2011-10-11 | Common Shares | S | 1728 | $44.59 | Disposed | 229904.905 | Direct |
| 2011-10-11 | Common Shares | S | 700 | $44.6 | Disposed | 229204.905 | Direct |
| 2011-10-11 | Common Shares | S | 900 | $44.61 | Disposed | 228304.905 | Direct |
| 2011-10-11 | Common Shares | S | 1447 | $44.62 | Disposed | 226857.905 | Direct |
| 2011-10-11 | Common Shares | S | 554 | $44.63 | Disposed | 226303.905 | Direct |
| 2011-10-11 | Common Shares | S | 912 | $44.64 | Disposed | 225391.905 | Direct |
| 2011-10-11 | Common Shares | S | 1278 | $44.65 | Disposed | 224113.905 | Direct |
| 2011-10-11 | Common Shares | S | 1423 | $44.66 | Disposed | 222690.905 | Direct |
| 2011-10-11 | Common Shares | S | 2116 | $44.67 | Disposed | 220574.905 | Direct |
| 2011-10-11 | Common Shares | S | 3034 | $44.68 | Disposed | 217540.905 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-10-11 | Stock Option (right to buy) | $16.8 | M | 148715 | Disposed | 2011-10-21 | Common Shares (148715) | Direct |
| 2011-10-11 | Restricted Stock Units | $ | M | 63700 | Disposed | 2011-10-11 | Common Shares (63700) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 32038.28 | Indirect |
| Common Shares | 2779554 | Indirect |
| Common Shares | 4488.2311 | Indirect |
Footnotes
F1: The restricted stock units were granted, together with an equal number of related cash dividend equivalents, under The Scotts Miracle-Gro Company Amended and Restated 2006 Long-Term Incentive Plan (the "2006 Plan"), and subject to the terms and conditions of an individual award agreement. Each whole restricted stock unit represents a contingent right to receive one common share of the Issuer ("Common Share"). The restricted stock units vested on October 8, 2011.
F2: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2011.
F3: Pursuant 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, 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.