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person · Reporting owner

FINN BRIAN D

Disclosed activity across 10 companies

Tapewire entity
40623
SEC CIK
0001124195

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Blue Owl Capital CorpNONE · Entity 3829DirectorJune 17, 2019June 18, 2019
Blue Owl Capital Corp IINONE · Entity 81984DirectorFebruary 03, 2017February 03, 2017
Blue Owl Capital Corp IIINONE · Entity 84112DirectorAugust 04, 2020August 04, 2020
Blue Owl Credit Income Corp.NONE · Entity 81985DirectorDecember 28, 2020December 28, 2020
Blue Owl Technology Finance Corp.OWL ROCK T · Entity 3868DirectorOctober 09, 2018October 09, 2018
Blue Owl Technology Finance Corp. IINONE · Entity 81482DirectorJanuary 31, 2022January 31, 2022
Blue Owl Technology Income Corp.NONE · Entity 81983DirectorFebruary 11, 2022February 11, 2022
Palladyne AI Corp.PDYN · Entity 6068DirectorJune 08, 2026June 08, 2026
SCOTTS MIRACLE-GRO COSMG · Entity 4142DirectorDecember 09, 2022December 13, 2022
Siddhi Acquisition Corp (Cayman Islands)SDHI · Entity 5732Director · 10% owner · Chairman of Board of DirectorsApril 02, 2025April 02, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Blue Owl Capital Corp

Report date June 17, 2019 · Filed June 18, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy LLC35,779 Reported balance After 2019-06-17 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-06-17 · Purchase · Acquired 9,464 · Balance 35,779

F1: Reflects the shares held by Marstar Investments, LLC. Mr. Finn disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the shares held by Marstar Investments, LLC. Mr. Finn disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or for any other purpose.

Blue Owl Capital Corp II

Report date February 03, 2017 · Filed February 03, 2017

This filing explicitly reported no securities owned.

Blue Owl Capital Corp III

Report date August 04, 2020 · Filed August 04, 2020

This filing explicitly reported no securities owned.

Blue Owl Credit Income Corp.

Report date December 28, 2020 · Filed December 28, 2020

This filing explicitly reported no securities owned.

Blue Owl Technology Finance Corp.

Report date October 09, 2018 · Filed October 09, 2018

This filing explicitly reported no securities owned.

Blue Owl Technology Finance Corp. II

Report date January 31, 2022 · Filed January 31, 2022

This filing explicitly reported no securities owned.

Blue Owl Technology Income Corp.

Report date February 11, 2022 · Filed February 11, 2022

This filing explicitly reported no securities owned.

Palladyne AI Corp.

Report date June 08, 2026 · Filed June 08, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect74,079 Reported balance After 2026-06-08 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-06-08 · Grant · Acquired 15,083 · Balance 74,079

F1: Includes 15,083 restricted stock units ("RSUs"), each RSU representing the right to receive one share of common stock of the Issuer. The RSUs will vest on the earlier of (i) the first anniversary of the date the award is granted or (ii) the day prior to the date of the next annual meeting of the Issuer's stockholders following the date the award was granted, in each case, subject to the Reporting Person continuing to be a Service Provider through the applicable vesting date.

Common StockSEC Table I · non-derivativeIndirectBy Marstar Investments LLC467,760 Reported balance Holding disclosure · report date 2026-06-08 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 467,760

F2: Securities are held by Marstar Investments LLC ("Marstar"). Mr. Finn is the administrator of Marstar and has sole voting and dispositive power over the shares of Issuer common stock held by Marstar. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy MI-MJ LLC85,858 Reported balance Holding disclosure · report date 2026-06-08 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 85,858

F3: Securities are held by MI-MJ. Mr. Finn is the administrator of MI-MJ. As administrator, Mr. Finn has sole voting and dispositive power over the shares of Issuer common stock held by MI-MJ. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy MI-CM LLC261,091 Reported balance Holding disclosure · report date 2026-06-08 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 261,091

F4: Securities are held by MI-CM LLC ("MI-CM"). Mr. Finn is the administrator of MI-CM. As administrator, Mr. Finn has sole voting and dispositive power over the shares of Issuer common stock held by MI-CM. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 15,083 restricted stock units ("RSUs"), each RSU representing the right to receive one share of common stock of the Issuer. The RSUs will vest on the earlier of (i) the first anniversary of the date the award is granted or (ii) the day prior to the date of the next annual meeting of the Issuer's stockholders following the date the award was granted, in each case, subject to the Reporting Person continuing to be a Service Provider through the applicable vesting date.

F2: Securities are held by Marstar Investments LLC ("Marstar"). Mr. Finn is the administrator of Marstar and has sole voting and dispositive power over the shares of Issuer common stock held by Marstar. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

F3: Securities are held by MI-MJ. Mr. Finn is the administrator of MI-MJ. As administrator, Mr. Finn has sole voting and dispositive power over the shares of Issuer common stock held by MI-MJ. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

F4: Securities are held by MI-CM LLC ("MI-CM"). Mr. Finn is the administrator of MI-CM. As administrator, Mr. Finn has sole voting and dispositive power over the shares of Issuer common stock held by MI-CM. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

SCOTTS MIRACLE-GRO CO

Report date December 09, 2022 · Filed December 13, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Dividend Equivalent RightsSEC Table II · derivative / convertible securityDirect386 Reported balance After 2022-12-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-12-09 · Grant · Acquired 88 · Balance 386

F1: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

Siddhi Acquisition Corp (Cayman Islands)

Report date April 02, 2025 · Filed April 02, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Ordinary Share, par value $0.0001 per shareSEC Table I · non-derivativeIndirectHeld by Siddhi Sponsor LLC7,238,000 Reported balance After 2025-04-02 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-04-02 · Purchase · Acquired 338,000 · Balance 7,238,000

F1: Reflects the 338,000 private units owned by Siddhi Sponsor LLC, the Issuer's sponsor. The private units consist of Class A ordinary shares and rights. The private units were purchased at $10.00 per unit for an aggregate purchase price of $ 3,380,000. Mr. Brian D. Finn is the managing member of Siddhi Sponsor LLC. Mr. Finn has voting and dispositive power over the shares held of record by Siddhi Sponsor LLC. Mr. Finn disclaims any beneficial ownership of the shares held by Siddhi Sponsor LLC, except to the extent of his pecuniary interest therein.

Right to receive one tenth of one Class A Ordinary ShareSEC Table II · derivative / convertible securityIndirectHeld by Siddhi Sponsor LLC338,000 Reported balance After 2025-04-02 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-04-02 · Purchase · Acquired 338,000 · Balance 338,000

F2: The rights convert automatically into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination.

F1: Reflects the 338,000 private units owned by Siddhi Sponsor LLC, the Issuer's sponsor. The private units consist of Class A ordinary shares and rights. The private units were purchased at $10.00 per unit for an aggregate purchase price of $ 3,380,000. Mr. Brian D. Finn is the managing member of Siddhi Sponsor LLC. Mr. Finn has voting and dispositive power over the shares held of record by Siddhi Sponsor LLC. Mr. Finn disclaims any beneficial ownership of the shares held by Siddhi Sponsor LLC, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the 338,000 private units owned by Siddhi Sponsor LLC, the Issuer's sponsor. The private units consist of Class A ordinary shares and rights. The private units were purchased at $10.00 per unit for an aggregate purchase price of $ 3,380,000. Mr. Brian D. Finn is the managing member of Siddhi Sponsor LLC. Mr. Finn has voting and dispositive power over the shares held of record by Siddhi Sponsor LLC. Mr. Finn disclaims any beneficial ownership of the shares held by Siddhi Sponsor LLC, except to the extent of his pecuniary interest therein.

F2: The rights convert automatically into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 01, 2021 Filed Oct 5, 2021 17:31 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 170 $147.14 $25,013.80
Disclosure

SEC source: 0001443984-21-000321 · wf-form4_163345506693795.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,176

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000

Read SEC document
September 24, 2021 Filed Sep 27, 2021 15:27 UTC Palladyne AI Corp. STRC · Entity 6068 GrantCommon Stock 12,500 $10.00 $125,000.00
Disclosure

SEC source: 0001209191-21-057738 · doc4.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,500

F2 · balance_after: On April 5, 2021, the issuer entered into subscription agreements with certain PIPE Investors pursuant to which the PIPE Investors agreed to purchase shares of the issuer's common stock for $10.00 per share in connection with, and conditioned upon, the substantially concurrent consummation of certain transactions, including the Business Combination. As one of the PIPE Investors, on September 24, 2021, Gee Jay LLC ("Gee Jay") acquired 12,500 shares of the issuer's common stock for $10.00 per share. Mr. Finn is the trustee of the Gee Jay. Mr. Finn disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

F2 · ownership.nature: On April 5, 2021, the issuer entered into subscription agreements with certain PIPE Investors pursuant to which the PIPE Investors agreed to purchase shares of the issuer's common stock for $10.00 per share in connection with, and conditioned upon, the substantially concurrent consummation of certain transactions, including the Business Combination. As one of the PIPE Investors, on September 24, 2021, Gee Jay LLC ("Gee Jay") acquired 12,500 shares of the issuer's common stock for $10.00 per share. Mr. Finn is the trustee of the Gee Jay. Mr. Finn disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Sep 27, 2021 15:27 UTC Palladyne AI Corp. STRC · Entity 6068 GrantCommon Stock 130,000 $10.00 $1,300,000.00
Disclosure

SEC source: 0001209191-21-057738 · doc4.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 371,473

F1 · balance_after: On April 5, 2021, the issuer entered into subscription agreements with certain investors (the "PIPE Investors") pursuant to which the PIPE Investors agreed to purchase shares of the issuer's common stock for $10.00 per share in connection with, and conditioned upon, the substantially concurrent consummation of certain transactions, including the Agreement and Plan of Merger, dated as of April 5, 2021, as amended on August 28, 2021, by and among Sarcos Corp., Rotor Merger Sub Corp. and Rotor Acquisition Corp. (the "Business Combination"). As one of the PIPE Investors, on September 24, 2021, Marstar Investments LLC ("Marstar") acquired 130,000 shares of the issuer's common stock for $10.00 per share. Mr. Finn is the administrator of Marstar and has sole voting and dispositive power over the shares that will be directly held by Marstar. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

F1 · ownership.nature: On April 5, 2021, the issuer entered into subscription agreements with certain investors (the "PIPE Investors") pursuant to which the PIPE Investors agreed to purchase shares of the issuer's common stock for $10.00 per share in connection with, and conditioned upon, the substantially concurrent consummation of certain transactions, including the Agreement and Plan of Merger, dated as of April 5, 2021, as amended on August 28, 2021, by and among Sarcos Corp., Rotor Merger Sub Corp. and Rotor Acquisition Corp. (the "Business Combination"). As one of the PIPE Investors, on September 24, 2021, Marstar Investments LLC ("Marstar") acquired 130,000 shares of the issuer's common stock for $10.00 per share. Mr. Finn is the administrator of Marstar and has sole voting and dispositive power over the shares that will be directly held by Marstar. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 OtherWarrants · Derivative 460,470 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · derivative · entry 9

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sponsor LLC

Disclosed balance after: 5,970,684

Underlying: Common Stock · 460,470 shares

Expires 2026-09-24

F8 · kind: Pursuant to that certain Waiver Agreement, dated April 5, 2021, by and among Issuer, Sponsor, and certain other parties thereto, Sponsor forfeited 437,448 shares of Class B Common Stock and 460,470 private placement warrants to the Issuer for no consideration immediately prior to the consummation of the initial business combination.

F8 · price: Pursuant to that certain Waiver Agreement, dated April 5, 2021, by and among Issuer, Sponsor, and certain other parties thereto, Sponsor forfeited 437,448 shares of Class B Common Stock and 460,470 private placement warrants to the Issuer for no consideration immediately prior to the consummation of the initial business combination.

F9 · derivative.exercise_date: Private placement warrants were acquired by Sponsor upon consummation of the Issuer's initial public offering on January 20, 2021 (the "IPO") at a purchase price of $1.00 per warrant, with each warrant exercisable for one share of the Issuer's Class A Common Stock. The private placement warrants become exercisable at any time commencing on the later of one year from the closing of the IPO and 30 days after the completion of Issuer's initial business combination. In connection with the Issuer's initial business combination, the Issuer's Class A common stock was redesignated as Common Stock.

F9 · derivative.expiration_date: Private placement warrants were acquired by Sponsor upon consummation of the Issuer's initial public offering on January 20, 2021 (the "IPO") at a purchase price of $1.00 per warrant, with each warrant exercisable for one share of the Issuer's Class A Common Stock. The private placement warrants become exercisable at any time commencing on the later of one year from the closing of the IPO and 30 days after the completion of Issuer's initial business combination. In connection with the Issuer's initial business combination, the Issuer's Class A common stock was redesignated as Common Stock.

F2 · ownership.nature: Securities are held by Rotor Sponsor LLC ("Sponsor") and indirectly by its managing member, Brian Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 PurchaseWarrants · Derivative 6,431,154 Not disclosed Strike: $11.50 Not disclosed
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · derivative · entry 8

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sponsor LLC

Disclosed balance after: 6,431,154

Underlying: Common Stock · 6,431,154 shares

Expires 2026-09-24

F9 · kind: Private placement warrants were acquired by Sponsor upon consummation of the Issuer's initial public offering on January 20, 2021 (the "IPO") at a purchase price of $1.00 per warrant, with each warrant exercisable for one share of the Issuer's Class A Common Stock. The private placement warrants become exercisable at any time commencing on the later of one year from the closing of the IPO and 30 days after the completion of Issuer's initial business combination. In connection with the Issuer's initial business combination, the Issuer's Class A common stock was redesignated as Common Stock.

F9 · price: Private placement warrants were acquired by Sponsor upon consummation of the Issuer's initial public offering on January 20, 2021 (the "IPO") at a purchase price of $1.00 per warrant, with each warrant exercisable for one share of the Issuer's Class A Common Stock. The private placement warrants become exercisable at any time commencing on the later of one year from the closing of the IPO and 30 days after the completion of Issuer's initial business combination. In connection with the Issuer's initial business combination, the Issuer's Class A common stock was redesignated as Common Stock.

F9 · derivative.exercise_date: Private placement warrants were acquired by Sponsor upon consummation of the Issuer's initial public offering on January 20, 2021 (the "IPO") at a purchase price of $1.00 per warrant, with each warrant exercisable for one share of the Issuer's Class A Common Stock. The private placement warrants become exercisable at any time commencing on the later of one year from the closing of the IPO and 30 days after the completion of Issuer's initial business combination. In connection with the Issuer's initial business combination, the Issuer's Class A common stock was redesignated as Common Stock.

F9 · derivative.expiration_date: Private placement warrants were acquired by Sponsor upon consummation of the Issuer's initial public offering on January 20, 2021 (the "IPO") at a purchase price of $1.00 per warrant, with each warrant exercisable for one share of the Issuer's Class A Common Stock. The private placement warrants become exercisable at any time commencing on the later of one year from the closing of the IPO and 30 days after the completion of Issuer's initial business combination. In connection with the Issuer's initial business combination, the Issuer's Class A common stock was redesignated as Common Stock.

F2 · ownership.nature: Securities are held by Rotor Sponsor LLC ("Sponsor") and indirectly by its managing member, Brian Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 ConversionClass B Common Stock · Derivative 5,672,168 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · derivative · entry 7

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sponsor LLC

Disclosed balance after: 0

Underlying: Common Stock · 5,672,168 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: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F1 · kind: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F1 · price: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F1 · derivative.exercise_date: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F1 · derivative.expiration_date: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F2 · ownership.nature: Securities are held by Rotor Sponsor LLC ("Sponsor") and indirectly by its managing member, Brian Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 OtherClass B Common Stock · Derivative 437,448 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · derivative · entry 6

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sponsor LLC

Disclosed balance after: 5,672,168

Underlying: Common Stock · 437,448 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F8 · kind: Pursuant to that certain Waiver Agreement, dated April 5, 2021, by and among Issuer, Sponsor, and certain other parties thereto, Sponsor forfeited 437,448 shares of Class B Common Stock and 460,470 private placement warrants to the Issuer for no consideration immediately prior to the consummation of the initial business combination.

F8 · price: Pursuant to that certain Waiver Agreement, dated April 5, 2021, by and among Issuer, Sponsor, and certain other parties thereto, Sponsor forfeited 437,448 shares of Class B Common Stock and 460,470 private placement warrants to the Issuer for no consideration immediately prior to the consummation of the initial business combination.

F1 · derivative.exercise_date: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F1 · derivative.expiration_date: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F2 · ownership.nature: Securities are held by Rotor Sponsor LLC ("Sponsor") and indirectly by its managing member, Brian Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 OtherCommon Stock 8,942,957 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · nonDerivative · entry 5

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sarcos, LLC

Disclosed balance after: 8,942,957

F3 · kind: Reflects shares of the Issuer's Common Stock received in exchange for shares of Sarcos Corp. common stock in connection with the completion of the Issuer's initial business combination pursuant to the Agreement and Plan of Merger, dated as of April 5, 2021, as amended on August 28, 2021, by and among Sarcos Corp., Rotor Merger Sub Corp. and the Issuer (the "Merger Agreement"). At the effective time of the initial business combination (the "Effective Time"), each share of Sarcos Corp. common stock outstanding immediately prior to the Effective Time was converted into the right to receive approximately 5.129222424 shares of the Issuer's Common Stock, subject to rounding.

F3 · price: Reflects shares of the Issuer's Common Stock received in exchange for shares of Sarcos Corp. common stock in connection with the completion of the Issuer's initial business combination pursuant to the Agreement and Plan of Merger, dated as of April 5, 2021, as amended on August 28, 2021, by and among Sarcos Corp., Rotor Merger Sub Corp. and the Issuer (the "Merger Agreement"). At the effective time of the initial business combination (the "Effective Time"), each share of Sarcos Corp. common stock outstanding immediately prior to the Effective Time was converted into the right to receive approximately 5.129222424 shares of the Issuer's Common Stock, subject to rounding.

F7 · ownership.nature: Securities are held by Rotor-Sarcos LLC ("Rotor-Sarcos") and indirectly by Mr. Finn, who has shared control of Rotor-Sarcos. Mr. Finn disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Mr. Finn is also a member of the Issuer's Board of Directors.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 PurchaseCommon Stock 12,500 $10.00 $125,000.00
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · nonDerivative · entry 4

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gee Jay LLC

Disclosed balance after: 12,500

F5 · kind: On April 5, 2021, the Issuer entered into subscription agreements with certain investors pursuant to which the investors agreed to purchase shares of the Issuer's Common Stock for $10.00 per share in connection with, and conditioned upon, the substantially concurrent consummation of the Issuer's initial business combination.

F6 · ownership.nature: Securities are held by Gee Jay LLC and indirectly by its trustee, Mr. Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 PurchaseCommon Stock 130,000 $10.00 $1,300,000.00
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · nonDerivative · entry 3

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Marstar Investments LLC

Disclosed balance after: 371,473

F5 · kind: On April 5, 2021, the Issuer entered into subscription agreements with certain investors pursuant to which the investors agreed to purchase shares of the Issuer's Common Stock for $10.00 per share in connection with, and conditioned upon, the substantially concurrent consummation of the Issuer's initial business combination.

F4 · ownership.nature: Securities are held by Marstar Investments LLC ("Marstar") and indirectly by its administrator, Mr. Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 OtherCommon Stock 241,473 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Marstar Investments LLC

Disclosed balance after: 241,473

F3 · kind: Reflects shares of the Issuer's Common Stock received in exchange for shares of Sarcos Corp. common stock in connection with the completion of the Issuer's initial business combination pursuant to the Agreement and Plan of Merger, dated as of April 5, 2021, as amended on August 28, 2021, by and among Sarcos Corp., Rotor Merger Sub Corp. and the Issuer (the "Merger Agreement"). At the effective time of the initial business combination (the "Effective Time"), each share of Sarcos Corp. common stock outstanding immediately prior to the Effective Time was converted into the right to receive approximately 5.129222424 shares of the Issuer's Common Stock, subject to rounding.

F3 · price: Reflects shares of the Issuer's Common Stock received in exchange for shares of Sarcos Corp. common stock in connection with the completion of the Issuer's initial business combination pursuant to the Agreement and Plan of Merger, dated as of April 5, 2021, as amended on August 28, 2021, by and among Sarcos Corp., Rotor Merger Sub Corp. and the Issuer (the "Merger Agreement"). At the effective time of the initial business combination (the "Effective Time"), each share of Sarcos Corp. common stock outstanding immediately prior to the Effective Time was converted into the right to receive approximately 5.129222424 shares of the Issuer's Common Stock, subject to rounding.

F4 · ownership.nature: Securities are held by Marstar Investments LLC ("Marstar") and indirectly by its administrator, Mr. Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 24, 2021 Filed Apr 14, 2022 21:40 UTC Amendment Palladyne AI Corp. STRC · Entity 6068 ConversionCommon Stock 5,672,168 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-024463 · doc4a.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sponsor LLC

Disclosed balance after: 5,672,168

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 · kind: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F1 · price: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments, and had no expiration date. The Issuer consummated its initial business combination on September 24, 2021, whereby, among other things, the Issuer's Class A Common Stock was redesignated as Common Stock.

F2 · ownership.nature: Securities are held by Rotor Sponsor LLC ("Sponsor") and indirectly by its managing member, Brian Finn, who is also a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.

Read SEC document
September 10, 2021 Filed Sep 14, 2021 19:43 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 31 $151.62 $4,700.22
Disclosure

SEC source: 0001443984-21-000303 · wf-form4_163164858122750.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425

Underlying: Common Shares · 31 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
July 01, 2021 Filed Jul 6, 2021 18:22 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 131 $191.02 $25,023.62
Disclosure

SEC source: 0001443984-21-000244 · wf-form4_162559571213634.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,006

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000.

Read SEC document
June 10, 2021 Filed Jun 14, 2021 16:58 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 24 $194.05 $4,657.20
Disclosure

SEC source: 0001443984-21-000231 · wf-form4_162368986859342.xml · derivative · entry 3

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394

Underlying: Common Shares · 24 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
April 01, 2021 Filed Apr 5, 2021 14:42 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 100 $250.00 $25,000.00
Disclosure

SEC source: 0001443984-21-000178 · wf-form4_161763366170535.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,438

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000.

Read SEC document
March 10, 2021 Filed Mar 12, 2021 21:07 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 20 $218.37 $4,367.40
Disclosure

SEC source: 0001443984-21-000152 · wf-form4_161558321007536.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370

Underlying: Common Shares · 20 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
February 05, 2021 Filed Feb 9, 2021 23:39 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 106 $236.53 $25,072.18
Disclosure

SEC source: 0001443984-21-000104 · wf-form4_161291392541178.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,338

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000.

Read SEC document
February 05, 2021 Filed Feb 9, 2021 23:39 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 783 $0.00 $0.00
Disclosure

SEC source: 0001443984-21-000104 · wf-form4_161291392541178.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,232

Read SEC document
February 02, 2021 Filed Feb 5, 2021 01:02 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 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 SCOTTS MIRACLE-GRO CO SMG · Entity 4142 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
January 31, 2021 Filed Feb 5, 2021 01:02 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 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 SCOTTS MIRACLE-GRO CO SMG · Entity 4142 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 20, 2021 Filed Apr 14, 2022 21:37 UTC Palladyne AI Corp. STRC · Entity 6068 OtherClass B Common Stock · Derivative 790,384 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-024461 · doc4.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director · Chief Executive Officer · 10% owner

Rotor Sponsor LLC · CIK 0001839020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rotor Sponsor LLC

Disclosed balance after: 6,109,616

Underlying: Class A Common Stock · 790,384 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments. The Class B Common Stock has no expiration date.

F2 · kind: In connection with the consummation of the Issuer's initial public offering on January 20, 2021, Rotor Sponsor LLC ("Sponsor") forfeited 790,384 shares of Class B Common Stock to the Issuer for no consideration.

F1 · price: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments. The Class B Common Stock has no expiration date.

F1 · derivative.exercise_date: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments. The Class B Common Stock has no expiration date.

F1 · derivative.expiration_date: Shares of the Issuer's Class B Common Stock are automatically convertible into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination or earlier at the option of the holders thereof, in either case on a one-for-one basis, subject to certain adjustments. The Class B Common Stock has no expiration date.

F3 · ownership.nature: Securities are held by Sponsor and indirectly by its managing member, Brian Finn, who is also the Issuer's Chief Executive Officer and a member of the Issuer's Board of Directors. Mr. Finn disclaims beneficial ownership of the securities held by Sponsor except to the extent of any pecuniary interest therein.

Read SEC document
December 10, 2020 Filed Dec 14, 2020 23:35 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 33 $186.92 $6,168.36
Disclosure

SEC source: 0001443984-20-000312 · wf-form4_160798891867015.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 673

Underlying: Common Shares · 33 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
October 01, 2020 Filed Oct 5, 2020 14:26 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 167 $123.86 $20,684.62
Disclosure

SEC source: 0001443984-20-000267 · wf-form4_160190796341705.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,126

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000

Read SEC document
September 10, 2020 Filed Sep 14, 2020 20:44 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 324 $161.45 $52,309.80
Disclosure

SEC source: 0001443984-20-000243 · wf-form4_160011628195985.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640

Underlying: Common Shares · 324 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
July 01, 2020 Filed Jul 2, 2020 18:57 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 188 $133.49 $25,096.12
Disclosure

SEC source: 0001443984-20-000192 · wf-form4_159371620402714.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,959

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 21:47 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 35 $142.78 $4,997.30
Disclosure

SEC source: 0001443984-20-000171 · wf-form4_159191204714706.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316

Underlying: Common Shares · 35 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
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 300 $132.38 $39,714.51
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 10

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,771

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.32 to $132.43, 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 (7).

Read SEC document
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 1,000 $131.17 $131,173.00
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 9

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,071

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.11 to $131.74, 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
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 2,755 $129.95 $358,002.33
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 8

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,071

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.75 to $130.16, 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
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 3,445 $129.24 $445,246.61
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 7

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,826

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.74 to $129.70, 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
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 373 $132.23 $49,321.79
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 6

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,271

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.00 to $132.60, 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
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 583 $131.11 $76,437.13
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 5

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,644

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.01 to $131.14, 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
May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 2,331 $130.49 $304,172.19
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 4

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,227

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.00 to $130.97, 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).

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May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 1,027 $132.23 $135,800.21
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 3

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 0

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.00 to $132.60, 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).

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May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 1,589 $131.11 $208,333.79
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 1,027

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.01 to $131.14, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2).

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May 07, 2020 Filed May 11, 2020 20:13 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 SaleCommon Shares 6,356 $130.49 $829,394.44
Disclosure

SEC source: 0001443984-20-000141 · wf-form4_158922798077657.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 2,616

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.00 to $130.97, 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).

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April 01, 2020 Filed Apr 3, 2020 13:06 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 249 $100.75 $25,086.75
Disclosure

SEC source: 0001443984-20-000117 · wf-form4_158591916629147.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,558

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000.

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March 10, 2020 Filed Mar 12, 2020 18:30 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 47 $112.47 $5,286.09
Disclosure

SEC source: 0001443984-20-000097 · wf-form4_158403778501819.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281

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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February 03, 2020 Filed Feb 4, 2020 20:06 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 202 $123.86 $25,019.72
Disclosure

SEC source: 0001443984-20-000058 · wf-form4_158084675765798.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,309

F1 · price: The Deferred Stock Units were issued to the reporting person in lieu of retainer in the amount of $25,000

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February 03, 2020 Filed Feb 4, 2020 20:06 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 1,494 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000058 · wf-form4_158084675765798.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,107

Read SEC document
January 31, 2020 Filed Feb 3, 2020 21:46 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 Exercise / conversionDividend Equivalent Rights · Derivative 77 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000040 · wf-form4_158076639198332.xml · derivative · entry 5

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234

Underlying: Common Shares · 77 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 269 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2017.

F4 · derivative.exercise_date: On April 1, 2017, the reporting person was granted 269 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2017.

F5 · derivative.exercise_date: On July 1, 2017, the reporting person was granted 277 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2017.

F6 · derivative.exercise_date: On October 1, 2017, the reporting person was granted 255 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2017.

F3 · derivative.expiration_date: On January 30, 2017, the reporting person was granted 269 deferred stock units, with accruing dividend equivalent rights, vesting on January 31, 2017.

F4 · derivative.expiration_date: On April 1, 2017, the reporting person was granted 269 deferred stock units, with accruing dividend equivalent rights, vesting on April 1, 2017.

F5 · derivative.expiration_date: On July 1, 2017, the reporting person was granted 277 deferred stock units, with accruing dividend equivalent rights, vesting on July 1, 2017.

F6 · derivative.expiration_date: On October 1, 2017, the reporting person was granted 255 deferred stock units, with accruing dividend equivalent rights, vesting on October 1, 2017.

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January 31, 2020 Filed Feb 3, 2020 21:46 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 Exercise / conversionCommon Shares 77 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000040 · wf-form4_158076639198332.xml · nonDerivative · entry 2

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,613

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 SCOTTS MIRACLE-GRO CO SMG · Entity 4142 Exercise / conversionDividend Equivalent Rights · Derivative 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000040 · wf-form4_158076639198332.xml · derivative · entry 4

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311

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 SCOTTS MIRACLE-GRO CO SMG · Entity 4142 Exercise / conversionCommon Shares 150 $0.00 $0.00
Disclosure

SEC source: 0001443984-20-000040 · wf-form4_158076639198332.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,536

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
December 10, 2019 Filed Dec 11, 2019 20:24 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 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
October 01, 2019 Filed Oct 3, 2019 14:35 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantCommon Shares 248 $100.82 $25,003.36
Disclosure

SEC source: 0001443984-19-000198 · wf-form4_157011329133692.xml · nonDerivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,512

Read SEC document
September 10, 2019 Filed Sep 12, 2019 22:26 UTC SCOTTS MIRACLE-GRO CO SMG · Entity 4142 GrantDividend Equivalent Rights · Derivative 56 $106.79 $5,980.24
Disclosure

SEC source: 0001443984-19-000186 · wf-form4_156832719668113.xml · derivative · entry 1

FINN BRIAN D · CIK 0001124195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401

Underlying: Common Shares · 56 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

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