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SCOTTS MIRACLE-GRO CO — Director's Dealing 2013
Jan 25, 2013
31301_dirs_2013-01-25_d1828943-f2ee-47be-ad83-be32d0d4d753.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: 2013-01-23
Reporting Person: HAGEDORN JAMES (Director, Chairman and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-01-23 | Common Shares | M | 37500 | — | Acquired | 70144.953 | Direct |
| 2013-01-23 | Common Shares | S | 519 | $44.57 | Disposed | 69625.953 | Direct |
| 2013-01-23 | Common Shares | S | 476 | $44.58 | Disposed | 69149.953 | Direct |
| 2013-01-23 | Common Shares | S | 800 | $44.59 | Disposed | 68349.953 | Direct |
| 2013-01-23 | Common Shares | S | 481 | $44.6 | Disposed | 67868.953 | Direct |
| 2013-01-23 | Common Shares | S | 524 | $44.6005 | Disposed | 67344.953 | Direct |
| 2013-01-23 | Common Shares | S | 562 | $44.61 | Disposed | 66782.953 | Direct |
| 2013-01-23 | Common Shares | S | 213 | $44.6194 | Disposed | 66569.953 | Direct |
| 2013-01-23 | Common Shares | S | 1225 | $44.62 | Disposed | 65344.953 | Direct |
| 2013-01-23 | Common Shares | S | 4297 | $44.63 | Disposed | 61047.953 | Direct |
| 2013-01-23 | Common Shares | S | 100 | $44.6301 | Disposed | 60947.953 | Direct |
| 2013-01-23 | Common Shares | S | 200 | $44.635 | Disposed | 60747.953 | Direct |
| 2013-01-23 | Common Shares | S | 2100 | $44.64 | Disposed | 58647.953 | Direct |
| 2013-01-23 | Common Shares | S | 300 | $44.6401 | Disposed | 58347.953 | Direct |
| 2013-01-23 | Common Shares | S | 100 | $44.645 | Disposed | 58247.953 | Direct |
| 2013-01-23 | Common Shares | S | 327 | $44.6485 | Disposed | 57920.953 | Direct |
| 2013-01-23 | Common Shares | S | 2776 | $44.65 | Disposed | 55144.953 | Direct |
| 2013-01-23 | Common Shares | S | 2700 | $44.66 | Disposed | 52444.953 | Direct |
| 2013-01-23 | Common Shares | S | 1500 | $44.67 | Disposed | 50944.953 | Direct |
| 2013-01-23 | Common Shares | S | 1368 | $44.68 | Disposed | 49576.953 | Direct |
| 2013-01-23 | Common Shares | S | 200 | $44.685 | Disposed | 49376.953 | Direct |
| 2013-01-23 | Common Shares | S | 1605 | $44.69 | Disposed | 47771.953 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-01-23 | Restricted Stock Units | $ | M | 37500 | Disposed | 2013-01-20 | Common Shares (37500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 33747.195 | Indirect |
| Common Shares | 2427726 | Indirect |
| Common Shares | 5354.7841 | Indirect |
Footnotes
F1: The restricted stock units were granted, together with an equal number of related dividend equivalents, under The Scotts Miracle-Gro Company Long-Term Incentive Plan (the "LTIP"), 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 January 20, 2013.
F2: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2012.
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.