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SCOTTS MIRACLE-GRO CO

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4142
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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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Insider transactions

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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
February 04, 2021 Filed Feb 5, 2021 19:18 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
SaleCommon Shares 333 $236.34 $78,701.22
Disclosure

SEC source: 0001443984-21-000070 · wf-form4_161255268164854.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,152

F1 · kind: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2020.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $235.86 to $236.77 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 (6).

Read SEC document
February 04, 2021 Filed Feb 5, 2021 19:18 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
SaleCommon Shares 226 $235.36 $53,191.36
Disclosure

SEC source: 0001443984-21-000070 · wf-form4_161255268164854.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,485

F1 · kind: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2020.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.84 to $235.80 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 (5).

Read SEC document
February 04, 2021 Filed Feb 5, 2021 19:18 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
SaleCommon Shares 549 $234.36 $128,663.64
Disclosure

SEC source: 0001443984-21-000070 · wf-form4_161255268164854.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,711

F1 · kind: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.85 to $234.79 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 (4).

Read SEC document
February 04, 2021 Filed Feb 5, 2021 19:18 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
SaleCommon Shares 468 $233.21 $109,142.28
Disclosure

SEC source: 0001443984-21-000070 · wf-form4_161255268164854.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,260

F1 · kind: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.905 to $233.82, 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 (3).

Read SEC document
February 04, 2021 Filed Feb 5, 2021 19:18 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
SaleCommon Shares 462 $232.48 $107,405.76
Disclosure

SEC source: 0001443984-21-000070 · wf-form4_161255268164854.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,728

F1 · kind: The sales reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.88 to $232.85, 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).

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:03 UTC Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000062 · wf-form4_161248697570825.xml · derivative · entry 4

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265

Underlying: Common Shares · 210 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F6 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F6 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:03 UTC Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000062 · wf-form4_161248697570825.xml · nonDerivative · entry 2

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,621

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:02 UTC
FINN BRIAN DDirector
Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000061 · wf-form4_161248695713188.xml · derivative · entry 4

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350

Underlying: Common Shares · 210 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F6 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F6 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:02 UTC
FINN BRIAN DDirector
Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000061 · wf-form4_161248695713188.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,449

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:02 UTC
Hanft AdamDirector
Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000060 · wf-form4_161248693380354.xml · derivative · entry 4

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308

Underlying: Common Shares · 210 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: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F7 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F7 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:02 UTC
Hanft AdamDirector
Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000060 · wf-form4_161248693380354.xml · nonDerivative · entry 2

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,809

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: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:02 UTC
STUMP DENISEEVP, Global Human Resources
Tax withholdingCommon Shares 1,009 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000059 · wf-form4_161248690993582.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,169.3787

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:01 UTC Exercise / conversionDividend Equivalent Rights · Derivative 144 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000058 · wf-form4_161248688389940.xml · derivative · entry 2

Evans David C · CIK 0001375909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536

Underlying: Common Shares · 144 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On May 4, 2018, the reporting person was granted 1,515 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F2 · derivative.expiration_date: On May 4, 2018, the reporting person was granted 1,515 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:01 UTC Exercise / conversionCommon Shares 144 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000058 · wf-form4_161248688389940.xml · nonDerivative · entry 1

Evans David C · CIK 0001375909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,594

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:01 UTC Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000057 · wf-form4_161248686282616.xml · derivative · entry 2

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 463

Underlying: Common Shares · 210 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F2 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:01 UTC Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000057 · wf-form4_161248686282616.xml · nonDerivative · entry 1

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,376

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:00 UTC
Lukemire Michael CPresident and COO
Tax withholdingCommon Shares 4,831 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000056 · wf-form4_161248684597286.xml · nonDerivative · entry 1

Lukemire Michael C · CIK 0001434770 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,936

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:00 UTC Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000055 · wf-form4_161248680478364.xml · derivative · entry 2

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248

Underlying: Common Shares · 210 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F2 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:00 UTC Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000055 · wf-form4_161248680478364.xml · nonDerivative · entry 1

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,008

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:59 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
Tax withholdingCommon Shares 10,766 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000054 · wf-form4_161248678423808.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,631.8785

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:59 UTC
King James DEVP and CCO
Tax withholdingCommon Shares 665 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000053 · wf-form4_161248675938644.xml · nonDerivative · entry 1

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,901

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:59 UTC
Smith Ivan CEVP, GC and Secretary
Tax withholdingCommon Shares 1,016 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000052 · wf-form4_161248674011835.xml · nonDerivative · entry 1

Smith Ivan C · CIK 0001580464 · EVP, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,688.382

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:58 UTC Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000051 · wf-form4_161248670918846.xml · derivative · entry 2

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248

Underlying: Common Shares · 210 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F2 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:58 UTC Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000051 · wf-form4_161248670918846.xml · nonDerivative · entry 1

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,365

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:58 UTC
Vines John RDirector
Exercise / conversionDividend Equivalent Rights · Derivative 250 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000050 · wf-form4_161248668751073.xml · derivative · entry 2

Vines John R · CIK 0001582749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294

Underlying: Common Shares · 250 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,432 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F2 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,432 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:58 UTC
Vines John RDirector
Exercise / conversionCommon Shares 250 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000050 · wf-form4_161248668751073.xml · nonDerivative · entry 1

Vines John R · CIK 0001582749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,154

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:58 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000049 · wf-form4_161248666323283.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248

Underlying: Common Shares · 210 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F3 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F3 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:58 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000049 · wf-form4_161248666323283.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,190

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 16:32 UTC Amendment
Hanft AdamDirector
Exercise / conversionDividend Equivalent Rights · Derivative 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000066 · wf-form4a_161254273703063.xml · derivative · entry 4

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248

Underlying: Common Shares · 210 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.

F2 · derivative.exercise_price: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F9 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F9 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 2,045 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 16:32 UTC Amendment
Hanft AdamDirector
Exercise / conversionCommon Shares 210 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000066 · wf-form4a_161254273703063.xml · nonDerivative · entry 2

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,869

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.

F2 · price: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 16:32 UTC Amendment Exercise / conversionDividend Equivalent Rights · Derivative 144 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000065 · wf-form4a_161254271106933.xml · derivative · entry 2

Evans David C · CIK 0001375909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248

Underlying: Common Shares · 144 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · shares: The original Form 4 showed 144 shares acquired. This amendment displays 144 shares as disposed.

F3 · derivative.exercise_date: On May 4, 2018, the reporting person was granted 1,515 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

F3 · derivative.expiration_date: On May 4, 2018, the reporting person was granted 1,515 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2019.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 16:32 UTC Amendment Exercise / conversionCommon Shares 144 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000065 · wf-form4a_161254271106933.xml · nonDerivative · entry 1

Evans David C · CIK 0001375909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,594

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 01:03 UTC Exercise / conversionDividend Equivalent Rights · Derivative 22 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000062 · wf-form4_161248697570825.xml · derivative · entry 3

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 475

Underlying: Common Shares · 22 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 70 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F3 · derivative.exercise_date: On April 1, 2018, the reporting person was granted 76 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F4 · derivative.exercise_date: On July 1, 2018, the reporting person was granted 75 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F5 · derivative.exercise_date: On October 1, 2018, the reporting person was granted 80 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

F2 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 70 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F3 · derivative.expiration_date: On April 1, 2018, the reporting person was granted 76 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F4 · derivative.expiration_date: On July 1, 2018, the reporting person was granted 75 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F5 · derivative.expiration_date: On October 1, 2018, the reporting person was granted 80 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 01:03 UTC Exercise / conversionCommon Shares 22 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000062 · wf-form4_161248697570825.xml · nonDerivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,411

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 01:02 UTC
FINN BRIAN DDirector
Exercise / conversionDividend Equivalent Rights · Derivative 113 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000061 · wf-form4_161248695713188.xml · derivative · entry 3

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560

Underlying: Common Shares · 113 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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 277 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F3 · derivative.exercise_date: On April 1, 2018, the reporting person was granted 301 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F4 · derivative.exercise_date: On July 1, 2018, the reporting person was granted 300 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F5 · derivative.exercise_date: On October 1, 2018, the reporting person was granted 317 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

F2 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 277 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F3 · derivative.expiration_date: On April 1, 2018, the reporting person was granted 301 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F4 · derivative.expiration_date: On July 1, 2018, the reporting person was granted 300 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F5 · derivative.expiration_date: On October 1, 2018, the reporting person was granted 317 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 01:02 UTC
FINN BRIAN DDirector
Exercise / conversionCommon Shares 113 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000061 · wf-form4_161248695713188.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,239

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: Deferred stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 01:02 UTC
Hanft AdamDirector
Exercise / conversionDividend Equivalent Rights · Derivative 154 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000060 · wf-form4_161248693380354.xml · derivative · entry 3

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518

Underlying: Common Shares · 214 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: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On February 3, 2020, the reporting person was granted 3,230 restricted stock units, with accruing dividend equivalent rights, vesting on January 31, 2021.

F3 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 139 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F4 · derivative.exercise_date: On April 1, 2018, the reporting person was granted 151 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F5 · derivative.exercise_date: On July 1, 2018, the reporting person was granted 150 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F6 · derivative.exercise_date: On October 1, 2018, the reporting person was granted 159 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

F2 · derivative.expiration_date: On February 3, 2020, the reporting person was granted 3,230 restricted stock units, with accruing dividend equivalent rights, vesting on January 31, 2021.

F3 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 139 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F4 · derivative.expiration_date: On April 1, 2018, the reporting person was granted 151 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F5 · derivative.expiration_date: On July 1, 2018, the reporting person was granted 150 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F6 · derivative.expiration_date: On October 1, 2018, the reporting person was granted 159 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 01:02 UTC
Hanft AdamDirector
Exercise / conversionCommon Shares 154 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000060 · wf-form4_161248693380354.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,599

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: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 16:32 UTC Amendment
Hanft AdamDirector
Exercise / conversionDividend Equivalent Rights · Derivative 214 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000066 · wf-form4a_161254273703063.xml · derivative · entry 3

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458

Underlying: Common Shares · 214 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.

F2 · derivative.exercise_price: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

F3 · shares: The original Form 4 showed 154 shares disposed. This amendment displays the correct number.

F4 · derivative.exercise_date: On February 3, 2020, the reporting person was granted 3,230 restricted stock units, with accruing dividend equivalent rights, vesting on January 31, 2021.

F5 · derivative.exercise_date: On February 2, 2018, the reporting person was granted 139 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F6 · derivative.exercise_date: On April 1, 2018, the reporting person was granted 151 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F7 · derivative.exercise_date: On July 1, 2018, the reporting person was granted 150 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F8 · derivative.exercise_date: On October 1, 2018, the reporting person was granted 159 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

F4 · derivative.expiration_date: On February 3, 2020, the reporting person was granted 3,230 restricted stock units, with accruing dividend equivalent rights, vesting on January 31, 2021.

F5 · derivative.expiration_date: On February 2, 2018, the reporting person was granted 139 deferred stock units, with accruing dividend equivalent rights, vesting on February 2, 2018.

F6 · derivative.expiration_date: On April 1, 2018, the reporting person was granted 151 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2018.

F7 · derivative.expiration_date: On July 1, 2018, the reporting person was granted 150 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2018.

F8 · derivative.expiration_date: On October 1, 2018, the reporting person was granted 159 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2018.

Read SEC document
January 31, 2021 Filed Feb 5, 2021 16:32 UTC Amendment
Hanft AdamDirector
Exercise / conversionCommon Shares 214 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000066 · wf-form4a_161254273703063.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,659

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 · shares: The original Form 4 showed 154 shares acquired. This amendment displays the correct number.

F2 · price: Deferred stock units or restricted stock units convert into common shares of the Issuer on a one-for-one basis.

Read SEC document
January 26, 2021 Filed Jan 28, 2021 14:40 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 85.689 $229.76 $19,687.90
Disclosure

SEC source: 0001443984-21-000026 · wf-form4_161184481548141.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,417.16

Underlying: Common Shares · 85.689 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 account into an alternative investment account 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 account into an alternative investment account at any time.

Read SEC document
January 26, 2021 Filed Jan 28, 2021 14:40 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 362.703 $229.76 $83,334.64
Disclosure

SEC source: 0001443984-21-000027 · wf-form4_161184483225316.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,452.1641

Underlying: Common Shares · 362.703 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 account into an alternative investment account 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 account into an alternative investment account at any time.

Read SEC document
January 25, 2021 Filed Jan 28, 2021 14:41 UTC
Smith Ivan CEVP, GC and Secretary
OtherCommon Shares 0.643 $194.41 $125.01
Disclosure

SEC source: 0001443984-21-000029 · wf-form4_161184486539286.xml · nonDerivative · entry 1

Smith Ivan C · CIK 0001580464 · EVP, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,704.382

Read SEC document
January 25, 2021 Filed Jan 28, 2021 14:41 UTC
Miller Cory JSVP and Interim CFO
OtherCommon Shares 6.9441 $194.41 $1,350.00
Disclosure

SEC source: 0001443984-21-000028 · wf-form4_161184484858481.xml · nonDerivative · entry 1

Miller Cory J · CIK 0001840117 · SVP and Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,637.5073

Read SEC document
January 25, 2021 Filed Jan 28, 2021 14:40 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 2.5719 $194.41 $500.00
Disclosure

SEC source: 0001443984-21-000026 · wf-form4_161184481548141.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,178.3787

Read SEC document
January 25, 2021 Filed Jan 28, 2021 14:40 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 10.2875 $194.41 $1,999.99
Disclosure

SEC source: 0001443984-21-000027 · wf-form4_161184483225316.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,397.8785

Read SEC document
January 22, 2021 Filed Mar 30, 2021 19:15 UTC
Miller Cory JSVP and Interim CFO
OtherCommon Shares 7.0559 $191.33 $1,350.01
Disclosure

SEC source: 0001443984-21-000175 · wf-form4_161713171111418.xml · nonDerivative · entry 2

Miller Cory J · CIK 0001840117 · SVP and Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,257.039

Read SEC document
January 08, 2021 Filed Jan 12, 2021 18:46 UTC
Miller Cory JSVP and Interim CFO
GrantCommon Shares 4,426 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000020 · wf-form4_161047715209959.xml · nonDerivative · entry 1

Miller Cory J · CIK 0001840117 · SVP and Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,630.5632

Read SEC document
January 04, 2021 Filed Mar 30, 2021 19:15 UTC
Miller Cory JSVP and Interim CFO
OtherCommon Shares 8.0104 $168.53 $1,349.99
Disclosure

SEC source: 0001443984-21-000175 · wf-form4_161713171111418.xml · nonDerivative · entry 1

Miller Cory J · CIK 0001840117 · SVP and Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,249.9831

Read SEC document
December 28, 2020 Filed Dec 30, 2020 16:48 UTC
Scheiwer Mark JVP and Corporate Controller
GrantPhantom Stock · Derivative 2.413 $198.01 $477.80
Disclosure

SEC source: 0001443984-20-000335 · wf-form4_160934688312973.xml · derivative · entry 1

Scheiwer Mark J · CIK 0001830165 · VP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 554.316

Underlying: Common Shares · 2.413 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 account into an alternative investment account 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 account into an alternative investment account at any time.

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.