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SCOTTS MIRACLE-GRO CO

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0000825542
Parsed reports
1,677

Last 12 months

Inside the activity.

1 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202611
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202601
Aug 202603
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 01, 2023 Filed Jul 5, 2023 20:58 UTC
Hanft AdamDirector
Exercise / conversionDividend Equivalent Rights · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000198 · wk-form4_1688590660.xml · derivative · entry 2

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210

Underlying: Common Shares · 4 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:58 UTC
Hanft AdamDirector
Exercise / conversionCommon Shares 4 Not disclosed Not disclosed
Disclosure

SEC source: 0001443984-23-000198 · wk-form4_1688590660.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,399

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:56 UTC Exercise / conversionDividend Equivalent Rights · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000196 · wk-form4_1688590568.xml · derivative · entry 2

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211

Underlying: Common Shares · 4 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:56 UTC Exercise / conversionCommon Shares 4 Not disclosed Not disclosed
Disclosure

SEC source: 0001443984-23-000196 · wk-form4_1688590568.xml · nonDerivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,863

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:54 UTC Exercise / conversionDividend Equivalent Rights · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000194 · wk-form4_1688590457.xml · derivative · entry 2

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210

Underlying: Common Shares · 4 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:54 UTC Exercise / conversionCommon Shares 4 Not disclosed Not disclosed
Disclosure

SEC source: 0001443984-23-000194 · wk-form4_1688590457.xml · nonDerivative · entry 1

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,055

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:52 UTC Exercise / conversionDividend Equivalent Rights · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000192 · wk-form4_1688590340.xml · derivative · entry 2

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210

Underlying: Common Shares · 4 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:52 UTC Exercise / conversionCommon Shares 4 Not disclosed Not disclosed
Disclosure

SEC source: 0001443984-23-000192 · wk-form4_1688590340.xml · nonDerivative · entry 1

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,698

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:50 UTC
Vines John RDirector
Exercise / conversionDividend Equivalent Rights · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000190 · wk-form4_1688590221.xml · derivative · entry 2

Vines John R · CIK 0001582749 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248

Underlying: Common Shares · 4 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:50 UTC
Vines John RDirector
Exercise / conversionCommon Shares 4 Not disclosed Not disclosed
Disclosure

SEC source: 0001443984-23-000190 · wk-form4_1688590221.xml · nonDerivative · entry 1

Vines John R · CIK 0001582749 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,935

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:48 UTC
Volas GeraldDirector
Exercise / conversionDividend Equivalent Rights · Derivative 4 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000188 · wk-form4_1688590107.xml · derivative · entry 2

Volas Gerald · CIK 0001597860 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183

Underlying: Common Shares · 4 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on July 1, 2023.

Read SEC document
July 01, 2023 Filed Jul 5, 2023 20:48 UTC
Volas GeraldDirector
Exercise / conversionCommon Shares 4 Not disclosed Not disclosed
Disclosure

SEC source: 0001443984-23-000188 · wk-form4_1688590107.xml · nonDerivative · entry 1

Volas Gerald · CIK 0001597860 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,975

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
June 26, 2023 Filed Jun 28, 2023 19:39 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 68.058 $57.86 $3,937.84
Disclosure

SEC source: 0001443984-23-000186 · wk-form4_1687981130.xml · derivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,292.053

Underlying: Common Shares · 68.058 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F2 · derivative.exercise_date: 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 into an alternative investment at any time.

F2 · derivative.expiration_date: 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 into an alternative investment at any time.

Read SEC document
June 26, 2023 Filed Jun 28, 2023 19:37 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 1,440.387 $57.85 $83,326.39
Disclosure

SEC source: 0001443984-23-000184 · wk-form4_1687981034.xml · derivative · entry 1

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,929.121

Underlying: Common Shares · 1,440.687 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F2 · derivative.exercise_date: 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 into an alternative investment at any time.

F2 · derivative.expiration_date: 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 into an alternative investment at any time.

Read SEC document
June 23, 2023 Filed Jul 6, 2023 14:12 UTC
Hagedorn ChristopherDivision President
OtherCommon Shares 4.4586 $48.67 $217.00
Disclosure

SEC source: 0001443984-23-000208 · wk-form4_1688652744.xml · nonDerivative · entry 1

Hagedorn Christopher · CIK 0001575124 · Division President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,145.5236

Read SEC document
June 23, 2023 Filed Jul 6, 2023 14:10 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 10.2733 $48.67 $500.00
Disclosure

SEC source: 0001443984-23-000206 · wk-form4_1688652649.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,925.2656

Read SEC document
June 23, 2023 Filed Jul 6, 2023 14:09 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 41.0931 $48.67 $2,000.00
Disclosure

SEC source: 0001443984-23-000204 · wk-form4_1688652564.xml · nonDerivative · entry 1

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,064.7261

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:34 UTC
Hagedorn ChristopherDivision President
OtherCommon Shares 1.2945 $63.11 $81.70
Disclosure

SEC source: 0001443984-23-000182 · wk-form4_1686681258.xml · nonDerivative · entry 2

Hagedorn Christopher · CIK 0001575124 · Division President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,141.065

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:32 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 1,768.554 $62.02 $109,676.88
Disclosure

SEC source: 0001443984-23-000180 · wk-form4_1686681154.xml · derivative · entry 5

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,488.734

Underlying: Common Shares · 1,768.554 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F3 · derivative.exercise_date: 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 into an alternative investment at any time.

F3 · derivative.expiration_date: 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 into an alternative investment at any time.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:32 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 87.8868 $63.11 $5,546.74
Disclosure

SEC source: 0001443984-23-000180 · wk-form4_1686681154.xml · nonDerivative · entry 2

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,023.633

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:31 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 138.622 $62.02 $8,596.64
Disclosure

SEC source: 0001443984-23-000178 · wk-form4_1686681084.xml · derivative · entry 3

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,223.995

Underlying: Common Shares · 138.622 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F2 · derivative.exercise_date: 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 into an alternative investment at any time.

F2 · derivative.expiration_date: 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 into an alternative investment at any time.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:31 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 3.5584 $63.11 $224.58
Disclosure

SEC source: 0001443984-23-000178 · wk-form4_1686681084.xml · nonDerivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,914.9923

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:29 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
GrantDividend Equivalent Rights · Derivative 27 $61.50 $1,660.50
Disclosure

SEC source: 0001443984-23-000176 · wk-form4_1686680965.xml · derivative · entry 1

HAGEDORN KATHERINE LITTLEFIELD · CIK 0001180173 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149

Underlying: Common Shares · 27 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:27 UTC
Hanft AdamDirector
GrantDividend Equivalent Rights · Derivative 63 $61.50 $3,874.50
Disclosure

SEC source: 0001443984-23-000174 · wk-form4_1686680839.xml · derivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 214

Underlying: Common Shares · 63 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:25 UTC GrantDividend Equivalent Rights · Derivative 63 $61.50 $3,874.50
Disclosure

SEC source: 0001443984-23-000172 · wk-form4_1686680723.xml · derivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215

Underlying: Common Shares · 63 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:24 UTC GrantDividend Equivalent Rights · Derivative 63 $61.50 $3,874.50
Disclosure

SEC source: 0001443984-23-000170 · wk-form4_1686680634.xml · derivative · entry 1

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 214

Underlying: Common Shares · 63 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:22 UTC GrantDividend Equivalent Rights · Derivative 63 $61.50 $3,874.50
Disclosure

SEC source: 0001443984-23-000168 · wk-form4_1686680553.xml · derivative · entry 1

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 214

Underlying: Common Shares · 63 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:21 UTC
Vines John RDirector
GrantDividend Equivalent Rights · Derivative 74 $61.50 $4,551.00
Disclosure

SEC source: 0001443984-23-000166 · wk-form4_1686680477.xml · derivative · entry 1

Vines John R · CIK 0001582749 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252

Underlying: Common Shares · 74 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:20 UTC GrantDividend Equivalent Rights · Derivative 86 $61.50 $5,289.00
Disclosure

SEC source: 0001443984-23-000164 · wk-form4_1686680392.xml · derivative · entry 1

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290

Underlying: Common Shares · 86 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 18:18 UTC GrantDividend Equivalent Rights · Derivative 63 $61.50 $3,874.50
Disclosure

SEC source: 0001443984-23-000162 · wk-form4_1686680307.xml · derivative · entry 1

Evans David C · CIK 0001375909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 214

Underlying: Common Shares · 63 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

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June 09, 2023 Filed Jun 13, 2023 18:17 UTC
Volas GeraldDirector
GrantDividend Equivalent Rights · Derivative 59 $61.50 $3,628.50
Disclosure

SEC source: 0001443984-23-000160 · wk-form4_1686680217.xml · derivative · entry 1

Volas Gerald · CIK 0001597860 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187

Underlying: Common Shares · 59 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

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June 09, 2023 Filed Jun 13, 2023 18:15 UTC GrantDividend Equivalent Rights · Derivative 58 $61.50 $3,567.00
Disclosure

SEC source: 0001443984-23-000158 · wk-form4_1686680117.xml · derivative · entry 1

Sandoval Brian E · CIK 0001769844 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139

Underlying: Common Shares · 58 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

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June 09, 2023 Filed Jun 13, 2023 18:13 UTC
Aviles EdithDirector
GrantDividend Equivalent Rights · Derivative 36 $61.50 $2,214.00
Disclosure

SEC source: 0001443984-23-000156 · wk-form4_1686680021.xml · derivative · entry 1

Aviles Edith · CIK 0001957659 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65

Underlying: Common Shares · 36 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.exercise_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

F1 · derivative.expiration_date: The dividend equivalent rights accrued on DSU or RSU grants and become exercisable proportionately with the DSUs or RSUs to which they relate. Each dividend equivalent right is the economic equivalent of one common share of the Issuer.

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May 26, 2023 Filed May 30, 2023 21:03 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 2,543.438 $65.53 $166,671.49
Disclosure

SEC source: 0001443984-23-000154 · wk-form4_1685480574.xml · derivative · entry 1

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,720.18

Underlying: Common Shares · 2,543.438 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F2 · derivative.exercise_date: 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 into an alternative investment at any time.

F2 · derivative.expiration_date: 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 into an alternative investment at any time.

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May 26, 2023 Filed May 30, 2023 21:00 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 60.088 $65.53 $3,937.57
Disclosure

SEC source: 0001443984-23-000152 · wk-form4_1685480413.xml · derivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,085.373

Underlying: Common Shares · 60.088 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F2 · derivative.exercise_date: 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 into an alternative investment at any time.

F2 · derivative.expiration_date: 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 into an alternative investment at any time.

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May 25, 2023 Filed Jun 13, 2023 18:34 UTC
Hagedorn ChristopherDivision President
OtherCommon Shares 3.9773 $54.56 $217.00
Disclosure

SEC source: 0001443984-23-000182 · wk-form4_1686681258.xml · nonDerivative · entry 1

Hagedorn Christopher · CIK 0001575124 · Division President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,139.7705

Read SEC document
May 25, 2023 Filed Jun 13, 2023 18:32 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 36.6569 $54.56 $2,000.00
Disclosure

SEC source: 0001443984-23-000180 · wk-form4_1686681154.xml · nonDerivative · entry 1

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,935.7462

Read SEC document
May 25, 2023 Filed Jun 13, 2023 18:31 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 9.1642 $54.56 $500.00
Disclosure

SEC source: 0001443984-23-000178 · wk-form4_1686681084.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,911.4339

Read SEC document
May 12, 2023 Filed May 15, 2023 15:41 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
SaleCommon Shares 14,838 $67.36 $999,509.94
Disclosure

SEC source: 0001443984-23-000148 · wf-form4_168416528424447.xml · nonDerivative · entry 2

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,899.0893

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.0100 to $67.6371, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2).

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May 12, 2023 Filed May 15, 2023 15:41 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
SaleCommon Shares 10,162 $66.46 $675,399.04
Disclosure

SEC source: 0001443984-23-000148 · wf-form4_168416528424447.xml · nonDerivative · entry 1

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,737.0893

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.0100 to $67.0000, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1).

Read SEC document
April 28, 2023 Filed May 1, 2023 16:11 UTC
Baxter Nathan EricEVP, GLOBAL TECH & OPS
GrantStock Option (right to buy) · Derivative 35,212 $0.00 Strike: $66.81 $0.00
Disclosure

SEC source: 0001443984-23-000140 · wf-form4_168295745172215.xml · derivative · entry 2

Baxter Nathan Eric · CIK 0001785595 · EVP, GLOBAL TECH & OPS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,212

Underlying: Common Shares · 35,212 shares

Expires 2033-04-28

Read SEC document
April 28, 2023 Filed May 1, 2023 16:11 UTC
Baxter Nathan EricEVP, GLOBAL TECH & OPS
GrantCommon Shares 11,226 $66.81 $750,009.06
Disclosure

SEC source: 0001443984-23-000140 · wf-form4_168295745172215.xml · nonDerivative · entry 1

Baxter Nathan Eric · CIK 0001785595 · EVP, GLOBAL TECH & OPS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,226

Read SEC document
April 26, 2023 Filed Apr 28, 2023 13:14 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 59.949 $65.68 $3,937.45
Disclosure

SEC source: 0001443984-23-000138 · wf-form4_168268767693556.xml · derivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,025.285

Underlying: Common Shares · 59.949 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one common share of Issuer or the cash value thereof.

F2 · derivative.exercise_date: 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 into an alternative investment at any time.

F2 · derivative.expiration_date: 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 into an alternative investment at any time.

Read SEC document
April 25, 2023 Filed May 5, 2023 14:20 UTC
Hagedorn ChristopherDivision President
OtherCommon Shares 3.7145 $58.42 $217.00
Disclosure

SEC source: 0001443984-23-000146 · wf-form4_168329643574720.xml · nonDerivative · entry 1

Hagedorn Christopher · CIK 0001575124 · Division President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,135.7932

Read SEC document
April 25, 2023 Filed May 5, 2023 14:20 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 8.5587 $58.42 $500.00
Disclosure

SEC source: 0001443984-23-000145 · wf-form4_168329642000126.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,902.2697

Read SEC document
April 25, 2023 Filed May 5, 2023 14:20 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 34.2349 $58.42 $2,000.00
Disclosure

SEC source: 0001443984-23-000144 · wf-form4_168329640301417.xml · nonDerivative · entry 1

HAGEDORN JAMES · CIK 0001180171 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,899.0893

Read SEC document
April 01, 2023 Filed Apr 4, 2023 22:18 UTC Exercise / conversionDividend Equivalent Rights · Derivative 3 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000127 · wf-form4_168064669797258.xml · derivative · entry 4

Evans David C · CIK 0001375909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157

Underlying: Common Shares · 3 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on April 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on April 1, 2023.

Read SEC document
April 01, 2023 Filed Apr 4, 2023 22:18 UTC Exercise / conversionCommon Shares 3 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000127 · wf-form4_168064669797258.xml · nonDerivative · entry 3

Evans David C · CIK 0001375909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,437

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
April 01, 2023 Filed Apr 4, 2023 22:17 UTC
Hanft AdamDirector
Exercise / conversionDividend Equivalent Rights · Derivative 3 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000123 · wf-form4_168064661112518.xml · derivative · entry 2

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151

Underlying: Common Shares · 3 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on April 1, 2023.

F2 · derivative.expiration_date: On February 3, 2023, the reporting person was granted a special stock unit award in lieu of the director's annual cash compensation for the calendar year in the amount of 1,398 restricted stock units, with accruing dividend equivalent rights, vesting on April 1, 2023.

Read SEC document
April 01, 2023 Filed Apr 4, 2023 22:17 UTC
Hanft AdamDirector
Exercise / conversionCommon Shares 3 $0.00 $0.00
Disclosure

SEC source: 0001443984-23-000123 · wf-form4_168064661112518.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,395

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.