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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Stock Unit | (1) | 01/30/2018 | M | 18 | (2) | (2) | Common Shares | 18 | $ 0 | 1 | D | ||||
Deferred Stock Unit | (1) | 01/31/2018 | M | 1 | (3) | (3) | Common Shares | 1 | $ 0 | 0 | D | ||||
Dividend Equivalent Rights | (1) | 01/30/2018 | M | 193 | (2) | (2) | Common Shares | 193 | $ 0 | 218 | D | ||||
Dividend Equivalent Rights | (1) | 01/31/2018 | M | 41 | (3)(4)(5)(6) | (3)(4)(5)(6) | Common Shares | 41 | $ 0 | 177 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Johnson Stephen L C/O THE SCOTTS MIRACLE-GRO COMPANY 14111 SCOTTSLAWN ROAD MARYSVILLE, OH 43041 |
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Kathy L. Uttley as attorney-in-fact for Stephen L. Johnson | 02/01/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Deferred stock units convert into common shares of the Issuer on a one-for-one basis. |
(2) | On January 30, 2015, the reporting person was granted 2,681 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2016. |
(3) | On January 30, 2015, the reporting person was granted 99 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2015. |
(4) | On April 1, 2015, the reporting person was granted 93 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2015. |
(5) | On July 1, 2015, the reporting person was granted 105 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2015. |
(6) | On October 1, 2015, the reporting person was granted 103 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2015. |