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SCOTTS MIRACLE-GRO CO

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SEC CIK
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

Latest available

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
January 30, 2020 Filed Feb 3, 2020 21:46 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
Exercise / conversionDividend Equivalent Rights · Derivative 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000039 · wf-form4_158076637003284.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164

Underlying: Common Shares · 150 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 January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

F3 · derivative.expiration_date: On January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:46 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
Exercise / conversionCommon Shares 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000039 · wf-form4_158076637003284.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,626

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 30, 2020 Filed Feb 3, 2020 21:45 UTC
Vines John RDirector
Exercise / conversionDividend Equivalent Rights · Derivative 181 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000036 · wf-form4_158076630636117.xml · derivative · entry 2

Vines John R · CIK 0001582749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197

Underlying: Common Shares · 181 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 January 30, 2017, the reporting person was granted 2,367 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

F2 · derivative.expiration_date: On January 30, 2017, the reporting person was granted 2,367 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:45 UTC
Vines John RDirector
Exercise / conversionCommon Shares 181 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000036 · wf-form4_158076630636117.xml · nonDerivative · entry 1

Vines John R · CIK 0001582749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,618

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 30, 2020 Filed Feb 3, 2020 21:46 UTC Exercise / conversionDividend Equivalent Rights · Derivative 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000038 · wf-form4_158076634976810.xml · derivative · entry 3

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180

Underlying: Common Shares · 150 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 January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

F2 · derivative.expiration_date: On January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:46 UTC Exercise / conversionCommon Shares 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000038 · wf-form4_158076634976810.xml · nonDerivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,687

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 30, 2020 Filed Feb 3, 2020 21:45 UTC Exercise / conversionDividend Equivalent Rights · Derivative 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000037 · wf-form4_158076632726809.xml · derivative · entry 2

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164

Underlying: Common Shares · 150 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 January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

F2 · derivative.expiration_date: On January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:45 UTC Exercise / conversionCommon Shares 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000037 · wf-form4_158076632726809.xml · nonDerivative · entry 1

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,961

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 30, 2020 Filed Feb 3, 2020 21:45 UTC Exercise / conversionDividend Equivalent Rights · Derivative 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000035 · wf-form4_158076628607577.xml · derivative · entry 2

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234

Underlying: Common Shares · 150 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 January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

F2 · derivative.expiration_date: On January 30, 2017, the reporting person was granted 1,990 deferred stock units, with accruing dividend equivalent rights, vesting on January 30, 2018.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:45 UTC Exercise / conversionCommon Shares 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000035 · wf-form4_158076628607577.xml · nonDerivative · entry 1

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,966

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 30, 2020 Filed Feb 3, 2020 18:53 UTC
King James DEVP and CCO
Tax withholdingCommon Shares 672 $120.82 $81,191.04
Disclosure

SEC source: 0001443984-20-000026 · wf-form4_158075602168757.xml · nonDerivative · entry 1

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,330

Read SEC document
January 30, 2020 Filed Feb 3, 2020 18:53 UTC
Lukemire Michael CPresident and COO
Tax withholdingCommon Shares 4,025 $120.82 $486,300.50
Disclosure

SEC source: 0001443984-20-000025 · wf-form4_158075599767126.xml · nonDerivative · entry 1

Lukemire Michael C · CIK 0001434770 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,508

Read SEC document
January 30, 2020 Filed Feb 3, 2020 18:53 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
Tax withholdingCommon Shares 9,681 $120.82 $1,169,658.42
Disclosure

SEC source: 0001443984-20-000024 · wf-form4_158075597277789.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,619.588

Read SEC document
January 30, 2020 Filed Feb 3, 2020 18:52 UTC
Smith Ivan CEVP, GC and Secretary
Tax withholdingCommon Shares 950 $120.82 $114,779.00
Disclosure

SEC source: 0001443984-20-000021 · wf-form4_158075590334629.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,079.0947

Read SEC document
January 30, 2020 Filed Feb 3, 2020 18:52 UTC Tax withholdingCommon Shares 2,111 $120.82 $255,051.02
Disclosure

SEC source: 0001443984-20-000023 · wf-form4_158075594768515.xml · nonDerivative · entry 1

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,959

Read SEC document
January 30, 2020 Filed Feb 3, 2020 18:52 UTC
STUMP DENISEEVP, Global Human Resources
Tax withholdingCommon Shares 1,000 $120.82 $120,820.00
Disclosure

SEC source: 0001443984-20-000022 · wf-form4_158075592527789.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,228.8613

Read SEC document
January 29, 2020 Filed Jan 31, 2020 16:30 UTC
Hanft AdamDirector
SaleCommon Shares 5,000 $115.00 $575,000.00
Disclosure

SEC source: 0001443984-20-000014 · wf-form4_158048823888733.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,403

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 September 16, 2019.

Read SEC document
January 27, 2020 Filed Jan 29, 2020 19:18 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 145.061 $108.58 $15,750.72
Disclosure

SEC source: 0001443984-20-000010 · wf-form4_158032549641518.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,339.511

Underlying: Common Shares · 145.061 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 27, 2020 Filed Jan 29, 2020 19:18 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 767.518 $108.58 $83,337.10
Disclosure

SEC source: 0001443984-20-000009 · wf-form4_158032547452262.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,993.1561

Underlying: Common Shares · 767.518 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 24, 2020 Filed Jan 29, 2020 19:18 UTC
Smith Ivan CEVP, GC and Secretary
OtherCommon Shares 1.3625 $91.74 $125.00
Disclosure

SEC source: 0001443984-20-000011 · wf-form4_158032551590825.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,029.0947

Read SEC document
January 24, 2020 Filed Jan 29, 2020 19:18 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 5.4502 $91.74 $500.00
Disclosure

SEC source: 0001443984-20-000010 · wf-form4_158032549641518.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,228.8613

Read SEC document
January 24, 2020 Filed Jan 29, 2020 19:18 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 21.8007 $91.74 $2,000.00
Disclosure

SEC source: 0001443984-20-000009 · wf-form4_158032547452262.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,300.588

Read SEC document
January 13, 2020 Filed Jan 14, 2020 13:54 UTC
Hanft AdamDirector
SaleCommon Shares 5,000 $110.00 $550,000.00
Disclosure

SEC source: 0001443984-20-000004 · wf-form4_157901006216458.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,403

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 September 16, 2019.

Read SEC document
December 26, 2019 Filed Dec 30, 2019 19:48 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 87.85 $106.58 $9,363.05
Disclosure

SEC source: 0001443984-19-000263 · wf-form4_157773530720702.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,195.012

Underlying: Common Shares · 87.85 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
December 26, 2019 Filed Dec 30, 2019 19:48 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 842.197 $106.58 $89,761.36
Disclosure

SEC source: 0001443984-19-000262 · wf-form4_157773528420344.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,225.6381

Underlying: Common Shares · 842.197 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
December 24, 2019 Filed Dec 30, 2019 19:49 UTC
Smith Ivan CEVP, GC and Secretary
OtherCommon Shares 1.3827 $90.40 $125.00
Disclosure

SEC source: 0001443984-19-000264 · wf-form4_157773532863876.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,027.7322

Read SEC document
December 24, 2019 Filed Dec 30, 2019 19:48 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 5.531 $90.40 $500.00
Disclosure

SEC source: 0001443984-19-000263 · wf-form4_157773530720702.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,223.4111

Read SEC document
December 24, 2019 Filed Dec 30, 2019 19:48 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 22.1239 $90.40 $2,000.00
Disclosure

SEC source: 0001443984-19-000262 · wf-form4_157773528420344.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,278.7873

Read SEC document
December 10, 2019 Filed Dec 11, 2019 20:24 UTC GrantDividend Equivalent Rights · Derivative 52 $100.94 $5,248.88
Disclosure

SEC source: 0001443984-19-000233 · wf-form4_157609584200305.xml · derivative · entry 1

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384

Underlying: Common Shares · 52 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
December 10, 2019 Filed Dec 11, 2019 20:23 UTC
Hanft AdamDirector
GrantDividend Equivalent Rights · Derivative 77 $100.94 $7,772.38
Disclosure

SEC source: 0001443984-19-000232 · wf-form4_157609581836422.xml · derivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508

Underlying: Common Shares · 77 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
December 10, 2019 Filed Dec 11, 2019 20:27 UTC GrantDividend Equivalent Rights · Derivative 38 $100.94 $3,835.72
Disclosure

SEC source: 0001443984-19-000241 · wf-form4_157609603910197.xml · derivative · entry 1

KELLY THOMAS N JR · CIK 0001196636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314

Underlying: Common Shares · 38 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
December 10, 2019 Filed Dec 11, 2019 20:27 UTC GrantDividend Equivalent Rights · Derivative 38 $100.94 $3,835.72
Disclosure

SEC source: 0001443984-19-000240 · wf-form4_157609601768819.xml · derivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330

Underlying: Common Shares · 38 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
December 10, 2019 Filed Dec 11, 2019 20:26 UTC GrantDividend Equivalent Rights · Derivative 38 $100.94 $3,835.72
Disclosure

SEC source: 0001443984-19-000239 · wf-form4_157609599490454.xml · derivative · entry 1

MCCANN JAMES F · CIK 0001205164 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314

Underlying: Common Shares · 38 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
December 10, 2019 Filed Dec 11, 2019 20:26 UTC
HAGEDORN KATHERINE LITTLEFIELDDirector · 10% owner
GrantDividend Equivalent Rights · Derivative 38 $100.94 $3,835.72
Disclosure

SEC source: 0001443984-19-000238 · wf-form4_157609596939977.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314

Underlying: Common Shares · 38 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
December 10, 2019 Filed Dec 11, 2019 20:26 UTC GrantDividend Equivalent Rights · Derivative 38 $100.94 $3,835.72
Disclosure

SEC source: 0001443984-19-000237 · wf-form4_157609594414409.xml · derivative · entry 1

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314

Underlying: Common Shares · 38 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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December 10, 2019 Filed Dec 11, 2019 20:25 UTC
Vines John RDirector
GrantDividend Equivalent Rights · Derivative 47 $100.94 $4,744.18
Disclosure

SEC source: 0001443984-19-000236 · wf-form4_157609591852128.xml · derivative · entry 1

Vines John R · CIK 0001582749 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378

Underlying: Common Shares · 47 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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December 10, 2019 Filed Dec 11, 2019 20:25 UTC GrantDividend Equivalent Rights · Derivative 23 $100.94 $2,321.62
Disclosure

SEC source: 0001443984-19-000235 · wf-form4_157609589447760.xml · derivative · entry 1

Evans David C · CIK 0001375909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126

Underlying: Common Shares · 23 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
December 10, 2019 Filed Dec 11, 2019 20:24 UTC
FINN BRIAN DDirector
GrantDividend Equivalent Rights · Derivative 60 $100.94 $6,056.40
Disclosure

SEC source: 0001443984-19-000234 · wf-form4_157609587237908.xml · derivative · entry 3

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461

Underlying: Common Shares · 60 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
December 10, 2019 Filed Dec 12, 2019 20:45 UTC
King James DEVP and CCO
GrantPhantom Stock · Derivative 1.443 $100.67 $145.27
Disclosure

SEC source: 0001443984-19-000248 · wf-form4_157618348470904.xml · derivative · entry 1

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251.894

Underlying: Common Shares · 1.443 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
December 10, 2019 Filed Dec 12, 2019 20:44 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 707.415 $100.67 $71,215.47
Disclosure

SEC source: 0001443984-19-000247 · wf-form4_157618346119414.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,383.4411

Underlying: Common Shares · 707.415 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
December 10, 2019 Filed Dec 12, 2019 20:44 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 39.8292 $102.62 $4,087.18
Disclosure

SEC source: 0001443984-19-000247 · wf-form4_157618346119414.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,256.6634

Read SEC document
December 10, 2019 Filed Dec 12, 2019 20:45 UTC
Smith Ivan CEVP, GC and Secretary
OtherCommon Shares 3.5794 $102.62 $367.31
Disclosure

SEC source: 0001443984-19-000249 · wf-form4_157618350912380.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,026.3495

Read SEC document
December 10, 2019 Filed Dec 12, 2019 20:44 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 45.91 $100.67 $4,621.76
Disclosure

SEC source: 0001443984-19-000246 · wf-form4_157618343293439.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,107.162

Underlying: Common Shares · 45.91 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
December 10, 2019 Filed Dec 12, 2019 20:44 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 0.4821 $102.62 $49.47
Disclosure

SEC source: 0001443984-19-000246 · wf-form4_157618343293439.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,217.8801

Read SEC document
November 26, 2019 Filed Nov 29, 2019 14:30 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 885.167 $101.41 $89,764.79
Disclosure

SEC source: 0001443984-19-000220 · wf-form4_157503779723481.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,676.0261

Underlying: Common Shares · 885.167 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
November 26, 2019 Filed Nov 29, 2019 14:29 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 92.331 $101.41 $9,363.29
Disclosure

SEC source: 0001443984-19-000219 · wf-form4_157503777294505.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,061.252

Underlying: Common Shares · 92.331 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
November 25, 2019 Filed Nov 29, 2019 14:30 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 23.6435 $84.59 $2,000.00
Disclosure

SEC source: 0001443984-19-000220 · wf-form4_157503779723481.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,216.7147

Read SEC document
November 25, 2019 Filed Nov 29, 2019 14:30 UTC
Smith Ivan CEVP, GC and Secretary
OtherCommon Shares 1.4777 $84.59 $125.00
Disclosure

SEC source: 0001443984-19-000221 · wf-form4_157503781784511.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,022.7605

Read SEC document
November 25, 2019 Filed Nov 29, 2019 14:29 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 5.9109 $84.59 $500.00
Disclosure

SEC source: 0001443984-19-000219 · wf-form4_157503777294505.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,217.3586

Read SEC document
November 14, 2019 Filed Nov 15, 2019 15:07 UTC
STUMP DENISEEVP, Global Human Resources
SaleCommon Shares 2,249.2149 $105.92 $238,242.24
Disclosure

SEC source: 0001443984-19-000214 · wf-form4_157383044512190.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,211.4477

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.