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SCOTTS MIRACLE-GRO CO — Director's Dealing 2017
May 1, 2017
31301_dirs_2017-05-01_3cba5a90-9666-4785-a0d4-33e9ea9f5675.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: 2017-03-31
Reporting Person: HAGEDORN JAMES (Director, Chairman and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-31 | Common Shares | J | 23.7954 | $84.05 | Acquired | 98982.7821 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-26 | Phantom Stock | $ | A | 923.283 | Acquired | Common Shares (923.283) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 42288.998 | Indirect |
| Common Shares | 1880791 | Indirect |
Footnotes
F1: 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 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 he may be deemed to have a pecuniary interest, in Common Shares held by the Partnership.
F2: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.
F3: Shares of phantom stock are payable in cash following termination of the reporting person's employment with Issuer. The reporting person may transfer his/her phantom stock account into an alternative investment account at any time.