AI assistant
SCOTTS MIRACLE-GRO CO — Director's Dealing 2016
Jan 25, 2016
31301_dirs_2016-01-25_fab574bd-4fdf-4b0c-a95d-4c3ebe7dc8f0.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SCOTTS MIRACLE-GRO CO (SMG)
CIK: 0000825542
Period of Report: 2016-01-21
Reporting Person: HAGEDORN KATHERINE LITTLEFIELD (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-01-21 | Common Shares | M | 2757 | — | Acquired | 8448 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-01-21 | Deferred Stock Units | $ | M | 2697 | Disposed | Common Shares (2697) | Direct | |
| 2016-01-21 | Dividend Equivalent Rights | $ | M | 60 | Disposed | Common Shares (60) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 2861281 | Indirect |
Footnotes
F1: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.
F2: 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 of the Issuer ("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.
F3: On January 21, 2011, the reporting person was granted 2,757 deferred stock units, with accruing dividend equivalent rights, vesting on January 21, 2016.