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SCOTTS MIRACLE-GRO CO

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0000825542
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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
August 02, 2019 Filed Sep 13, 2019 20:52 UTC SaleCommon Shares 75 $108.73 $8,154.75
Disclosure

SEC source: 0001012975-19-000607 · edgar.xml · nonDerivative · entry 4

Baxter Nathan Eric · CIK 0001785595 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,640

F4 · price: The transaction was executed in multiple trades at prices ranging from $108.24 to $109.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F7 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of his pecuniary interest.

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August 02, 2019 Filed Sep 13, 2019 20:52 UTC SaleCommon Shares 38 $107.42 $4,081.96
Disclosure

SEC source: 0001012975-19-000607 · edgar.xml · nonDerivative · entry 3

Baxter Nathan Eric · CIK 0001785595 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,715

F3 · price: The transaction was executed in multiple trades at prices ranging from $107.02 to $107.78. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F7 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of his pecuniary interest.

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August 01, 2019 Filed Aug 5, 2019 21:48 UTC SaleCommon Shares 423 $110.39 $46,694.97
Disclosure

SEC source: 0001012975-19-000532 · edgar.xml · nonDerivative · entry 3

HAGEDORN SUSAN · CIK 0001247301 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,048,479

F3 · price: The transaction was executed in multiple trades at prices ranging from $110.38 to $110.41. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F8 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person and those family members in whose holdings she may be deemed to have a pecuniary interest. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of her pecuniary interest.

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August 01, 2019 Filed Aug 5, 2019 21:48 UTC SaleCommon Shares 3,330 $109.77 $365,534.10
Disclosure

SEC source: 0001012975-19-000532 · edgar.xml · nonDerivative · entry 2

HAGEDORN SUSAN · CIK 0001247301 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,048,902

F2 · price: The transaction was executed in multiple trades at prices ranging from $109.36 to $110.19. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F8 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person and those family members in whose holdings she may be deemed to have a pecuniary interest. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of her pecuniary interest.

Read SEC document
August 01, 2019 Filed Aug 5, 2019 21:48 UTC SaleCommon Shares 38,335 $108.48 $4,158,580.80
Disclosure

SEC source: 0001012975-19-000532 · edgar.xml · nonDerivative · entry 1

HAGEDORN SUSAN · CIK 0001247301 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,052,232

F1 · price: The transaction was executed in multiple trades at prices ranging from $108.36 to $109.32. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F8 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person and those family members in whose holdings she may be deemed to have a pecuniary interest. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of her pecuniary interest.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:02 UTC SaleCommon Shares 600 $110.01 $66,003.00
Disclosure

SEC source: 0001443984-19-000133 · wf-form4_156504972770678.xml · nonDerivative · entry 2

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,475

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:02 UTC SaleCommon Shares 545 $110.00 $59,950.00
Disclosure

SEC source: 0001443984-19-000133 · wf-form4_156504972770678.xml · nonDerivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,075

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
Exercise / conversionStock Option (right to buy) · Derivative 11,575 $0.00 Strike: $39.58 $0.00
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · derivative · entry 7

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 11,575 shares

Expires 2020-01-17

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
SaleCommon Shares 1,401 $112.24 $157,248.24
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · nonDerivative · entry 6

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,430.0736

F5 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.00 to $112.68, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
SaleCommon Shares 1,801 $111.53 $200,865.53
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · nonDerivative · entry 5

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,831.0736

F4 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.05 to $111.96, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
SaleCommon Shares 5,600 $110.26 $617,456.00
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · nonDerivative · entry 4

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,632.0736

F3 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $110.96, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
SaleCommon Shares 4,000 $109.39 $437,560.00
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · nonDerivative · entry 3

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,232.0736

F2 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.00 to $109.99, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
SaleCommon Shares 5,190 $108.65 $563,893.50
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · nonDerivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,232.0736

F1 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.35 to $108.97, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
STUMP DENISEEVP, Global Human Resources
Exercise / conversionCommon Shares 11,575 $39.58 $458,138.50
Disclosure

SEC source: 0001443984-19-000132 · wf-form4_156504970037078.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,422.0736

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
Hanft AdamDirector
SaleCommon Shares 1,200 $111.15 $133,380.00
Disclosure

SEC source: 0001443984-19-000131 · wf-form4_156504967337350.xml · nonDerivative · entry 2

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,903

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.035 to $111.43, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC
Hanft AdamDirector
SaleCommon Shares 6,300 $110.41 $695,583.00
Disclosure

SEC source: 0001443984-19-000131 · wf-form4_156504967337350.xml · nonDerivative · entry 1

Hanft Adam · CIK 0001481963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,103

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $110.97, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC Exercise / conversionStock Option (right to buy) · Derivative 28,626 $0.00 Strike: $68.68 $0.00
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · derivative · entry 7

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 28,626 shares

Expires 2026-01-29

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:01 UTC Exercise / conversionStock Option (right to buy) · Derivative 27,666 $0.00 Strike: $63.43 $0.00
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · derivative · entry 6

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 27,666 shares

Expires 2025-01-30

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:01 UTC SaleCommon Shares 16,915 $112.26 $1,898,813.62
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · nonDerivative · entry 5

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,070

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.00 to $112.69, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC SaleCommon Shares 13,203 $111.61 $1,473,642.28
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · nonDerivative · entry 4

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,985

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.00 to $111.995, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC SaleCommon Shares 35,721 $110.20 $3,936,414.91
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · nonDerivative · entry 3

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,188

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $110.99, 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
August 01, 2019 Filed Aug 6, 2019 00:01 UTC Exercise / conversionCommon Shares 28,626 $68.68 $1,966,033.68
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · nonDerivative · entry 2

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,909

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:01 UTC Exercise / conversionCommon Shares 27,666 $63.43 $1,754,854.38
Disclosure

SEC source: 0001443984-19-000130 · wf-form4_156504965156707.xml · nonDerivative · entry 1

Coleman Thomas Randal · CIK 0001569711 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,283

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
Lukemire Michael CPresident and COO
SaleCommon Shares 1,834 $111.39 $204,289.26
Disclosure

SEC source: 0001443984-19-000129 · wf-form4_156504963124620.xml · nonDerivative · entry 3

Lukemire Michael C · CIK 0001434770 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,533

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.015 to $112.00, 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
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
Lukemire Michael CPresident and COO
SaleCommon Shares 7,155 $110.28 $789,027.64
Disclosure

SEC source: 0001443984-19-000129 · wf-form4_156504963124620.xml · nonDerivative · entry 2

Lukemire Michael C · CIK 0001434770 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,367

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $110.90, 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
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
Lukemire Michael CPresident and COO
SaleCommon Shares 2,454 $109.85 $269,571.90
Disclosure

SEC source: 0001443984-19-000129 · wf-form4_156504963124620.xml · nonDerivative · entry 1

Lukemire Michael C · CIK 0001434770 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,522

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.52 to $109.99, 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
August 01, 2019 Filed Aug 6, 2019 00:00 UTC SaleCommon Shares 2,500 $113.00 $282,500.00
Disclosure

SEC source: 0001443984-19-000128 · wf-form4_156504961057665.xml · nonDerivative · entry 1

Mistretta Nancy G. · CIK 0001409462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,954

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
Exercise / conversionStock Option (right to buy) · Derivative 5,872 $0.00 Strike: $68.68 $0.00
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · derivative · entry 7

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,872 shares

Expires 2026-01-29

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
Exercise / conversionStock Option (right to buy) · Derivative 5,031 $0.00 Strike: $63.43 $0.00
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · derivative · entry 6

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,031 shares

Expires 2025-01-30

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
SaleCommon Shares 7,653 $110.25 $843,770.80
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · nonDerivative · entry 5

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,753

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $110.94, 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
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
SaleCommon Shares 1,400 $111.49 $156,083.48
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · nonDerivative · entry 4

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,406

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.13 to $112.00, 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
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
SaleCommon Shares 1,850 $109.79 $203,113.91
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · nonDerivative · entry 3

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,806

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.49 to $109.99, 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
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
Exercise / conversionCommon Shares 5,872 $68.68 $403,288.96
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · nonDerivative · entry 2

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,656

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.

Read SEC document
August 01, 2019 Filed Aug 6, 2019 00:00 UTC
King James DEVP and CCO
Exercise / conversionCommon Shares 5,031 $63.43 $319,116.33
Disclosure

SEC source: 0001443984-19-000127 · wf-form4_156504959108503.xml · nonDerivative · entry 1

King James D · CIK 0001775224 · EVP and CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,784

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.

Read SEC document
August 01, 2019 Filed Aug 5, 2019 21:49 UTC SaleCommon Shares 3,400 $109.94 $373,796.00
Disclosure

SEC source: 0001012975-19-000534 · edgar.xml · nonDerivative · entry 5

Hagedorn Partnership, L.P. · CIK 0000945527 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,491,297

F5 · price: The transaction was executed in multiple trades at prices ranging from $109.54 to $110.44. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

Read SEC document
August 01, 2019 Filed Aug 5, 2019 21:49 UTC SaleCommon Shares 38,411 $108.77 $4,177,964.47
Disclosure

SEC source: 0001012975-19-000534 · edgar.xml · nonDerivative · entry 4

Hagedorn Partnership, L.P. · CIK 0000945527 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,494,697

F4 · price: The transaction was executed in multiple trades at prices ranging from $108.35 to $109.29. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

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August 01, 2019 Filed Aug 5, 2019 21:49 UTC SaleCommon Shares 423 $110.39 $46,694.97
Disclosure

SEC source: 0001012975-19-000534 · edgar.xml · nonDerivative · entry 3

Hagedorn Partnership, L.P. · CIK 0000945527 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,533,108

F3 · price: The transaction was executed in multiple trades at prices ranging from $110.38 to $110.41. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

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August 01, 2019 Filed Aug 5, 2019 21:49 UTC SaleCommon Shares 3,330 $109.77 $365,534.10
Disclosure

SEC source: 0001012975-19-000534 · edgar.xml · nonDerivative · entry 2

Hagedorn Partnership, L.P. · CIK 0000945527 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,533,531

F2 · price: The transaction was executed in multiple trades at prices ranging from $109.36 to $110.19. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

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August 01, 2019 Filed Aug 5, 2019 21:49 UTC SaleCommon Shares 38,335 $108.48 $4,158,580.80
Disclosure

SEC source: 0001012975-19-000534 · edgar.xml · nonDerivative · entry 1

Hagedorn Partnership, L.P. · CIK 0000945527 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,536,861

F1 · price: The transaction was executed in multiple trades at prices ranging from $108.36 to $109.32. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

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August 01, 2019 Filed Sep 13, 2019 20:52 UTC SaleCommon Shares 61 $109.94 $6,706.34
Disclosure

SEC source: 0001012975-19-000607 · edgar.xml · nonDerivative · entry 2

Baxter Nathan Eric · CIK 0001785595 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,753

F2 · price: The transaction was executed in multiple trades at prices ranging from $109.54 to $110.44. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F7 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of his pecuniary interest.

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August 01, 2019 Filed Sep 13, 2019 20:52 UTC SaleCommon Shares 690 $108.77 $75,051.30
Disclosure

SEC source: 0001012975-19-000607 · edgar.xml · nonDerivative · entry 1

Baxter Nathan Eric · CIK 0001785595 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,814

F1 · price: The transaction was executed in multiple trades at prices ranging from $108.35 to $109.29. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F7 · ownership.nature: The common shares are directly held by the Hagedorn Partnership, L.P. (the "Partnership"). The Reporting Person is a general partner of the Partnership. The amount of shares reported as beneficially owned represent the aggregate proportionate interest in common shares held by the Partnership of the Reporting Person. The Reporting Person disclaims beneficial ownership of the common shares except to the extent of his pecuniary interest.

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July 26, 2019 Filed Jul 31, 2019 01:09 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 43.817 $103.84 $4,549.96
Disclosure

SEC source: 0001443984-19-000117 · wf-form4_156453532600581.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,651.037

Underlying: Common Shares · 43.817 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.

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July 26, 2019 Filed Jul 31, 2019 01:09 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
GrantPhantom Stock · Derivative 864.441 $103.84 $89,763.55
Disclosure

SEC source: 0001443984-19-000118 · wf-form4_156453534585382.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,489.9101

Underlying: Common Shares · 864.441 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.

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July 25, 2019 Filed Jul 31, 2019 01:09 UTC
STUMP DENISEEVP, Global Human Resources
OtherCommon Shares 5.7287 $87.28 $500.00
Disclosure

SEC source: 0001443984-19-000117 · wf-form4_156453532600581.xml · nonDerivative · entry 1

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,847.0736

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July 25, 2019 Filed Jul 31, 2019 01:09 UTC
Smith Ivan CEVP, GC and Secretary
OtherCommon Shares 1.4322 $87.28 $125.00
Disclosure

SEC source: 0001443984-19-000119 · wf-form4_156453537296043.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,809.3591

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July 25, 2019 Filed Jul 31, 2019 01:09 UTC
HAGEDORN JAMESDirector · Chairman and CEO · 10% owner
OtherCommon Shares 22.9148 $87.28 $2,000.00
Disclosure

SEC source: 0001443984-19-000118 · wf-form4_156453534585382.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,342.3497

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July 01, 2019 Filed Jul 2, 2019 17:17 UTC GrantCommon Shares 253 $98.98 $25,041.94
Disclosure

SEC source: 0001443984-19-000113 · wf-form4_156208782919718.xml · nonDerivative · entry 1

Shumlin Peter E · CIK 0001696706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,568

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July 01, 2019 Filed Jul 2, 2019 17:17 UTC GrantCommon Shares 64 $98.98 $6,334.72
Disclosure

SEC source: 0001443984-19-000112 · wf-form4_156208781246571.xml · nonDerivative · entry 1

Johnson Stephen L · CIK 0001505744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,620

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July 01, 2019 Filed Jul 2, 2019 17:16 UTC
FINN BRIAN DDirector
GrantCommon Shares 253 $98.98 $25,041.94
Disclosure

SEC source: 0001443984-19-000111 · wf-form4_156208779157179.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,264

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June 26, 2019 Filed Jun 27, 2019 19:35 UTC
STUMP DENISEEVP, Global Human Resources
GrantPhantom Stock · Derivative 82.359 $97.22 $8,006.94
Disclosure

SEC source: 0001443984-19-000106 · wf-form4_156166410576167.xml · derivative · entry 2

STUMP DENISE · CIK 0001196301 · EVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,607.22

Underlying: Common Shares · 82.359 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.

F4 · balance_after: Excludes 95.193 shares previously held through the Phantom Stock which were distributed to the reporting person on June 5, 2019 and are now owned directly.

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