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SCOTTS MIRACLE-GRO CO — Director's Dealing 2014
Jan 27, 2014
31301_dirs_2014-01-27_6eb4f63b-5041-4b9e-89eb-97cacc69a1d1.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: 2014-01-23
Reporting Person: HAGEDORN KATHERINE LITTLEFIELD (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-23 | Common Shares | M | 4017 | — | Acquired | 4017 | Direct |
| 2014-01-23 | Common Shares | S | 500 | $61.38 | Disposed | 3517 | Direct |
| 2014-01-23 | Common Shares | S | 1000 | $61.42 | Disposed | 2517 | Direct |
| 2014-01-23 | Common Shares | S | 500 | $61.44 | Disposed | 2017 | Direct |
| 2014-01-23 | Common Shares | S | 500 | $61.45 | Disposed | 1517 | Direct |
| 2014-01-23 | Common Shares | S | 500 | $61.46 | Disposed | 1017 | Direct |
| 2014-01-23 | Common Shares | S | 416 | $61.48 | Disposed | 601 | Direct |
| 2014-01-23 | Common Shares | S | 500 | $61.51 | Disposed | 101 | Direct |
| 2014-01-23 | Common Shares | S | 100 | $61.52 | Disposed | 1 | Direct |
| 2014-01-23 | Common Shares | S | 1 | $61.53 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-01-23 | Deferred Stock Units | $ | M | 4017 | Disposed | Common Shares (4017) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 2981291 | Indirect |
Footnotes
F1: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 13, 2013.
F2: The deferred stock units were granted, together with an equal number of related dividend equivalents, under The Scotts Miracle-Gro Company Long-Term Incentive Plan (formerly known as The Scotts Miracle-Gro Company Amended and Restated 2006 Long-Term Incentive Plan), and subject to the terms and conditions of an individual award agreement. Each whole deferred stock unit represents a contingent right to receive one common share of the Issuer ("Common Shares"). The deferred stock units settled on January 23, 2014.
F3: Pursuant to Exchange Act Rule 16a-1(a)(1), the reporting person may be deemed, solely for purposes of determining whether she 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 she may be deemed to have a pecuniary interest, in Common Shares held by the Partnership.