Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Spectrum Brands Holdings, Inc.SPB · Entity 4515 | Director · Executive Chairman and CEO | May 20, 2026 | May 22, 2026 |
| Vivint Smart Home, Inc.MOSC · Entity 15378 | Director | January 17, 2020 | January 17, 2020 |
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.
Spectrum Brands Holdings, Inc.
Report date May 20, 2026 · Filed May 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 790,708 |
Reported balance
After 2026-05-20 transaction · row 1
1 source rowRow 1 · 2026-05-20 · Purchase · Acquired 2,500 · Balance 790,708 |
Vivint Smart Home, Inc.
Report date January 17, 2020 · Filed January 17, 2020
Jointly reported with Mosaic Strategic Capital LLC, Mosaic Sponsor, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Mosaic Sponsor, LLC | 3,878,731 |
Reported balance
After 2020-01-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-01-17 · Exercise / conversion · Acquired 3,878,731 · Balance 3,878,731 F2: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares. F1: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date. F6: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7) F7: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |
| Class F Common StockSEC Table II · derivative / convertible security | IndirectBy Mosaic Sponsor, LLC | 3,223,125 |
Reported balance
After 2020-01-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-01-17 · Disposition to issuer · Disposed 1,074,375 · Balance 3,223,125 F1: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date. F3: In connection with the Business Combination, Mosaic Sponsor, LLC forfeited 1,074,375 Class F Shares to the Issuer pursuant to the Subscription Agreement, dated as of December 18, 2019, among Fayerweather Fund Eiger L.P., the Issuer, Mosaic Sponsor, LLC and Vivint. F6: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7) F7: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |
| Class F Common StockSEC Table II · derivative / convertible security | IndirectBy Mosaic Sponsor, LLC | 0 |
Reported balance
After 2020-01-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-01-17 · Exercise / conversion · Disposed 3,223,125 · Balance 0 F1: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date. F2: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares. F6: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7) F7: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |
| Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Mosaic Sponsor, LLC | 2,225,000 |
Reported balance
After 2020-01-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-01-17 · Grant · Disposed 2,225,000 · Balance 2,225,000 F5: The Private Placement Warrants were purchased by Mosaic Sponsor, LLC on October 23, 2017. Each Private Placement Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Private Placement Warrants are subject to certain vesting provisions and may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation. F6: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7) F7: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |
| Class A Common StockSEC Table I · non-derivative | Direct | 435,066 |
Reported balance
Holding disclosure · report date 2020-01-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 435,066 F4: Represents Class A Shares owned directly by David M. Maura. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Issuer's Certificate of Incorporation, the shares of Class F Common Stock, par value $0.0001 per share (the "Class F Shares"), of Mosaic Acquisition Corp. (the "Issuer") automatically converted into shares of Class A Common Stock ("Class A Shares") of the Issuer at the time of the Issuer's initial business combination as provided in the Issuer's Certificate of Incorporation. The Class F Shares have no expiration date.
F2: On January 17, 2020, the Issuer consummated its initial business combination (the "Business Combination") with Vivint Smart Home, Inc., a Delaware corporation ("Vivint"). In connection with the Business Combination, each Class F Share converted to approximately 1.20 Class A Shares.
F3: In connection with the Business Combination, Mosaic Sponsor, LLC forfeited 1,074,375 Class F Shares to the Issuer pursuant to the Subscription Agreement, dated as of December 18, 2019, among Fayerweather Fund Eiger L.P., the Issuer, Mosaic Sponsor, LLC and Vivint.
F4: Represents Class A Shares owned directly by David M. Maura.
F5: The Private Placement Warrants were purchased by Mosaic Sponsor, LLC on October 23, 2017. Each Private Placement Warrant is exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Private Placement Warrants are subject to certain vesting provisions and may be exercised only during the period commencing 30 days after the first date on which the Company completes a business combination and expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation.
F6: The securities reported herein are held of record by Mosaic Sponsor, LLC. David M. Maura is the sole member of Mosaic Strategic Capital LLC, which is the sole member of Mosaic Sponsor, LLC. As such, David M. Maura and Mosaic Strategic Capital LLC may be deemed to have beneficial ownership of the securities beneficially owned by Mosaic Sponsor, LLC. Because of the relationship among the reporting persons, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. (cont'd on FN 7)
F7: (cont'd from FN 6) Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such reporting person's pecuniary interest therein, if any. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the reporting persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Spectrum Brands Legacy, Inc.
Report date July 13, 2018 · Filed July 17, 2018
Section 16 reporting ended · disclosed 2018-07-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-07-13 transaction · row 1
1 source rowRow 1 · 2018-07-13 · Disposition to issuer · Disposed 282,959 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger dated February 24, 2018, and amended June 8, 2018, by and among Spectrum Brands Holdings, Inc. ("Spectrum") and HRG Group, Inc. ("HRG"), each share of common stock of Spectrum was converted into one share of common stock of HRG and each restricted stock unit with respect to common stock of Spectrum was exchanged for an equal number of restricted stock units with respect to common stock of HRG, in each case as of July 13, 2018, which was the closing date of the merger. |
| Performance RightsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-07-13 · Disposition to issuer · Disposed 9,360 · Balance 0 F2: These performance rights, which provide for vesting on December 1, 2018, were assumed by HRG in the merger. Pursuant to the Merger Agreement, each performance right that corresponds to a number of shares of Spectrum common stock granted under a Spectrum equity incentive plan that was outstanding immediately prior to the effective time of the merger, was automatically converted into a performance right award of HRG common stock equal to the number of shares of Spectrum common stock subject to such award as of immediately prior to the effective time of the merger (each such award, a "New HRG Award"). Each New HRG Award will continue to have the same terms and conditions, including with respect to vesting, as the Spectrum performance rights award to which they relate. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger dated February 24, 2018, and amended June 8, 2018, by and among Spectrum Brands Holdings, Inc. ("Spectrum") and HRG Group, Inc. ("HRG"), each share of common stock of Spectrum was converted into one share of common stock of HRG and each restricted stock unit with respect to common stock of Spectrum was exchanged for an equal number of restricted stock units with respect to common stock of HRG, in each case as of July 13, 2018, which was the closing date of the merger.
F2: These performance rights, which provide for vesting on December 1, 2018, were assumed by HRG in the merger. Pursuant to the Merger Agreement, each performance right that corresponds to a number of shares of Spectrum common stock granted under a Spectrum equity incentive plan that was outstanding immediately prior to the effective time of the merger, was automatically converted into a performance right award of HRG common stock equal to the number of shares of Spectrum common stock subject to such award as of immediately prior to the effective time of the merger (each such award, a "New HRG Award"). Each New HRG Award will continue to have the same terms and conditions, including with respect to vesting, as the Spectrum performance rights award to which they relate.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | GrantPerformance Rights · Derivative | 18,632 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · derivative · entry 13 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,632 Underlying: Common Stock · 18,632 shares Expires not disclosed F12 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock. F7 · derivative.exercise_price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary. F8 · derivative.exercise_price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017. F7 · price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary. F8 · price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017. F7 · derivative.exercise_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary. F8 · derivative.exercise_date: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017. F7 · derivative.expiration_date: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary. F8 · derivative.expiration_date: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionPerformance Rights · Derivative | 23,369 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · derivative · entry 12 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,369 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. F12 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_price: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") vested on December 1, 2017, and such performance rights representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F5 · derivative.exercise_price: On December 1, 2017, Mr. Maura also received, 6,691 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award vested on December 1, 2017 since Mr. Maura remained employed by the Issuer as of such date and the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results were equal to or greater than the comparable results for 2016. F3 · price: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") vested on December 1, 2017, and such performance rights representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F5 · price: On December 1, 2017, Mr. Maura also received, 6,691 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award vested on December 1, 2017 since Mr. Maura remained employed by the Issuer as of such date and the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results were equal to or greater than the comparable results for 2016. F3 · derivative.exercise_date: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") vested on December 1, 2017, and such performance rights representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F5 · derivative.exercise_date: On December 1, 2017, Mr. Maura also received, 6,691 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award vested on December 1, 2017 since Mr. Maura remained employed by the Issuer as of such date and the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results were equal to or greater than the comparable results for 2016. F3 · derivative.expiration_date: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") vested on December 1, 2017, and such performance rights representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F5 · derivative.expiration_date: On December 1, 2017, Mr. Maura also received, 6,691 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award vested on December 1, 2017 since Mr. Maura remained employed by the Issuer as of such date and the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results were equal to or greater than the comparable results for 2016. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionPerformance Rights · Derivative | 16,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · derivative · entry 11 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,341 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. F12 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock. F1 · derivative.exercise_price: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan vested on December 1, 2017, and such performance rights representing the S2B Service Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. F1 · price: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan vested on December 1, 2017, and such performance rights representing the S2B Service Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. F1 · derivative.exercise_date: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan vested on December 1, 2017, and such performance rights representing the S2B Service Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. F1 · derivative.expiration_date: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan vested on December 1, 2017, and such performance rights representing the S2B Service Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 4,782 | $114.21 | $546,152.22 |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 8 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,642 F9 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting and settling of performance rights of the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionCommon Stock | 9,272 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 7 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,424 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. F7 · price: Performance rights granted on December 15, 2016 under the Spectrum Brands Holdings, Inc. 2017 Equity Incentive Plan (the "2017 EIP Award") were earned as of December 1, 2017, and 50% of such performance rights, representing the 2017 EIP Performance Award portion of Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer's common stock. In addition, 9,273 shares, representing the 2017 EIP Service Award portion of Mr. Maura's 2017 EIP Award, will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer on such first anniversary. F8 · price: Mr. Maura also shall be eligible to receive up to 87 additional shares, representing the 2017 EIP Additional Award portion of Mr. Maura's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ended September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Mr. Maura remains employed by the Issuer as of such date and will be payable if the Issuer's consolidated free cash flow results are equal to or greater than the comparable results for 2017. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 3,451 | $114.21 | $394,138.71 |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 6 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,152 F6 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting and settling of performance rights of the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionCommon Stock | 6,691 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 5 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,603 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. F5 · price: On December 1, 2017, Mr. Maura also received, 6,691 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award vested on December 1, 2017 since Mr. Maura remained employed by the Issuer as of such date and the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results were equal to or greater than the comparable results for 2016. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 8,601 | $114.21 | $982,320.21 |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 4 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,912 F4 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting and settling of performance rights of the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionCommon Stock | 16,678 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 3 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,513 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. F3 · price: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") vested on December 1, 2017, and such performance rights representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 8,428 | $114.21 | $962,561.88 |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 2 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,835 F2 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting and settling of performance rights of the S2B Service Award portion of Mr. Maura's S2B Award. Read SEC document |
| December 01, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionCommon Stock | 16,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-17-000289 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,263 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: The remaining 50% of the performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan vested on December 1, 2017, and such performance rights representing the S2B Service Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. Read SEC document |
| November 25, 2017 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 15,035 | $113.49 | $1,706,322.15 |
DisclosureSEC source: 0000908834-17-000288 · edgar.xml · nonDerivative · entry 2 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,922 F2 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting of 30,000 shares of restricted common stock of the Issuer awarded to Mr. Maura on November 25, 2014, pursuant to the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan. Read SEC document |
| November 03, 2017 Filed Nov 7, 2017 14:29 UTC | Vivint Smart Home, Inc. MOSCU · Entity 15378 | PurchaseWarrants · Derivative | 8,333.33 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000950142-17-001962 · es1701107_4-maura.xml · derivative · entry 2 Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,333.33 Underlying: Class A Ordinary Share · 8,333.33 shares Expires not disclosed F1 · price: On November 3, 2017, Mr. Maura acquired, at a weighted average price of $10.19 per unit, 25,000 units, with each unit (a "Unit") consisting of (i) one Class A ordinary share, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company") and (ii) one-third of one warrant (the "Warrants"). The Units were purchased in multiple transactions at prices ranging from $10.18 to $10.20, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units acquired at each separate price within the range set forth above. F2 · derivative.exercise_date: Each whole Warrant is initially exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period (i) commencing on the later of (a) date that is 30 days after the first date on which the Company completes a business combination and (b) October 23, 2018 and (ii) expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation. F2 · derivative.expiration_date: Each whole Warrant is initially exercisable for one Class A Share at an exercise price of $11.50 per Class A Share, subject to certain adjustments. The Warrants may be exercised only during the period (i) commencing on the later of (a) date that is 30 days after the first date on which the Company completes a business combination and (b) October 23, 2018 and (ii) expiring five years after the completion of the Company's business combination or earlier upon redemption or liquidation. Read SEC document |
| November 03, 2017 Filed Nov 7, 2017 14:29 UTC | Vivint Smart Home, Inc. MOSCU · Entity 15378 | PurchaseClass A Ordinary Share | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-17-001962 · es1701107_4-maura.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · price: On November 3, 2017, Mr. Maura acquired, at a weighted average price of $10.19 per unit, 25,000 units, with each unit (a "Unit") consisting of (i) one Class A ordinary share, par value $0.0001 per share (the "Class A Shares"), of Mosaic Acquisition Corp. (the "Company") and (ii) one-third of one warrant (the "Warrants"). The Units were purchased in multiple transactions at prices ranging from $10.18 to $10.20, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units acquired at each separate price within the range set forth above. Read SEC document |
| December 14, 2016 Filed Dec 15, 2016 21:11 UTC | Spectrum Brands Holdings, Inc. HRG · Entity 4515 | GrantEmployee Stock Option (Right to Buy) · Derivative | 318,190 | $0.00 Strike: $15.39 | $0.00 |
DisclosureSEC source: 0000950142-16-004932 · es1601219_4-maura.xml · derivative · entry 2 Maura David M · CIK 0001365833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 318,190 Underlying: Common Stock · 318,190 shares Expires 2026-12-14 F2 · derivative.exercise_date: The options reported on this line will vest and become exercisable according to the following schedule: 30,626 on December 14, 2016; 30,626 on December 14, 2017; 128,469 on December 14, 2018; and 128,469 on December 14, 2019. Read SEC document |
| December 14, 2016 Filed Dec 15, 2016 21:11 UTC | Spectrum Brands Holdings, Inc. HRG · Entity 4515 | Tax withholdingCommon Stock | 56,836 | $15.39 | $874,706.04 |
DisclosureSEC source: 0000950142-16-004932 · es1601219_4-maura.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 967,548 F1 · kind: Reflects the withholding of shares by the Issuer to satisfy tax obligations. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 16:15 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionPerformance Rights · Derivative | 16,678 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-16-000767 · edgar.xml · derivative · entry 6 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,353 Underlying: Common Stock · 16,678 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. F6 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_price: Performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") were earned as of December 1, 2016, and 50% of such performance rights, representing the 2016 EIP Performance Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F4 · derivative.exercise_price: In addition, 16,678 shares, representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer on such first anniversary. Mr. Maura also shall be eligible to receive up to 11,675 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer as of such date and if the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results are equal to or greater than the comparable results for 2016. F3 · price: Performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") were earned as of December 1, 2016, and 50% of such performance rights, representing the 2016 EIP Performance Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F4 · price: In addition, 16,678 shares, representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer on such first anniversary. Mr. Maura also shall be eligible to receive up to 11,675 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer as of such date and if the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results are equal to or greater than the comparable results for 2016. F3 · derivative.exercise_date: Performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") were earned as of December 1, 2016, and 50% of such performance rights, representing the 2016 EIP Performance Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F4 · derivative.exercise_date: In addition, 16,678 shares, representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer on such first anniversary. Mr. Maura also shall be eligible to receive up to 11,675 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer as of such date and if the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results are equal to or greater than the comparable results for 2016. F3 · derivative.expiration_date: Performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") were earned as of December 1, 2016, and 50% of such performance rights, representing the 2016 EIP Performance Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F4 · derivative.expiration_date: In addition, 16,678 shares, representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer on such first anniversary. Mr. Maura also shall be eligible to receive up to 11,675 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer as of such date and if the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results are equal to or greater than the comparable results for 2016. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 16:15 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionPerformance Rights · Derivative | 16,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-16-000767 · edgar.xml · derivative · entry 5 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,341 Underlying: Common Stock · 16,341 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. F6 · security: Each performance right represents a contingent right to receive one share of the Issuer's common stock. F1 · derivative.exercise_price: Represents shares of the Issuer's common stock issued upon the vesting of performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan. 50% of the performance rights vested on December 1, 2016 (the "S2B Performance Vesting Date"), and such performance rights representing the S2B Performance Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. An additional 16,341 shares will vest on December 1, 2017, the first anniversary of the S2B Performance Vesting Date (such date, the "S2B Service Vesting Date"), if Mr. Maura remains employed by the Issuer on such first anniversary (such amount, the "S2B Service Award"). F1 · price: Represents shares of the Issuer's common stock issued upon the vesting of performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan. 50% of the performance rights vested on December 1, 2016 (the "S2B Performance Vesting Date"), and such performance rights representing the S2B Performance Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. An additional 16,341 shares will vest on December 1, 2017, the first anniversary of the S2B Performance Vesting Date (such date, the "S2B Service Vesting Date"), if Mr. Maura remains employed by the Issuer on such first anniversary (such amount, the "S2B Service Award"). F1 · derivative.exercise_date: Represents shares of the Issuer's common stock issued upon the vesting of performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan. 50% of the performance rights vested on December 1, 2016 (the "S2B Performance Vesting Date"), and such performance rights representing the S2B Performance Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. An additional 16,341 shares will vest on December 1, 2017, the first anniversary of the S2B Performance Vesting Date (such date, the "S2B Service Vesting Date"), if Mr. Maura remains employed by the Issuer on such first anniversary (such amount, the "S2B Service Award"). F1 · derivative.expiration_date: Represents shares of the Issuer's common stock issued upon the vesting of performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan. 50% of the performance rights vested on December 1, 2016 (the "S2B Performance Vesting Date"), and such performance rights representing the S2B Performance Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. An additional 16,341 shares will vest on December 1, 2017, the first anniversary of the S2B Performance Vesting Date (such date, the "S2B Service Vesting Date"), if Mr. Maura remains employed by the Issuer on such first anniversary (such amount, the "S2B Service Award"). Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 16:15 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 8,601 | $114.39 | $983,868.39 |
DisclosureSEC source: 0000908834-16-000767 · edgar.xml · nonDerivative · entry 4 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,742 F5 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting and settling of performance rights of the 2016 EIP Performance Award portion of Mr. Maura's 2016 EIP Award. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 16:15 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionCommon Stock | 16,678 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-16-000767 · edgar.xml · nonDerivative · entry 3 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,343 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. F3 · price: Performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. 2016 Equity Incentive Plan (the "2016 EIP Award") were earned as of December 1, 2016, and 50% of such performance rights, representing the 2016 EIP Performance Award portion of Mr. Maura's 2016 EIP Award, settled for 16,678 shares of the Issuer's common stock. F4 · price: In addition, 16,678 shares, representing the 2016 EIP Service Award portion of Mr. Maura's 2016 EIP Award, will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer on such first anniversary. Mr. Maura also shall be eligible to receive up to 11,675 additional shares, representing the 2016 EIP Additional Award portion of Mr. Maura's 2016 EIP Award, based on the Issuer exceeding by a certain percentage the 2016 adjusted EBITDA and 2016 consolidated free cash flow targets for the fiscal year ended September 30, 2016. The 2016 EIP Additional Award will vest on December 1, 2017 if Mr. Maura remains employed by the Issuer as of such date and if the Issuer's 2017 adjusted EBITDA and consolidated free cash flow results are equal to or greater than the comparable results for 2016. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 16:15 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 8,428 | $114.39 | $964,078.92 |
DisclosureSEC source: 0000908834-16-000767 · edgar.xml · nonDerivative · entry 2 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,665 F2 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting and settling of performance rights of the S2B Performance Award portion of Mr. Maura's S2B Award. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 16:15 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Exercise / conversionCommon Stock | 16,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-16-000767 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,093 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: Represents shares of the Issuer's common stock issued upon the vesting of performance rights granted on January 20, 2016 under the Spectrum Brands Holdings, Inc. S2B Plan. 50% of the performance rights vested on December 1, 2016 (the "S2B Performance Vesting Date"), and such performance rights representing the S2B Performance Award portion of Mr. Maura's S2B Award, settled for 16,341 shares of the Issuer's common stock. An additional 16,341 shares will vest on December 1, 2017, the first anniversary of the S2B Performance Vesting Date (such date, the "S2B Service Vesting Date"), if Mr. Maura remains employed by the Issuer on such first anniversary (such amount, the "S2B Service Award"). Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 22:54 UTC | Spectrum Brands Holdings, Inc. HRG · Entity 4515 | Tax withholdingCommon Stock | 263,305 | $15.67 | $4,125,989.35 |
DisclosureSEC source: 0000950142-16-004872 · es1601186_4-maura.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Managing Director and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,024,384 Read SEC document |
| November 25, 2016 Filed Nov 29, 2016 16:19 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 4,948 | $121.97 | $603,507.56 |
DisclosureSEC source: 0000908834-16-000752 · edgar.xml · nonDerivative · entry 2 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,752 F2 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation resulting from the grant of restricted stock under the Issuer's Management Incentive Plan. Read SEC document |
| November 25, 2016 Filed Nov 29, 2016 16:19 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | GrantCommon Stock | 9,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000908834-16-000752 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,700 F1 · shares: The shares represent the cash value of the Management Incentive Award under the Issuer's 2016 Management Incentive Plan. F1 · price: The shares represent the cash value of the Management Incentive Award under the Issuer's 2016 Management Incentive Plan. Read SEC document |
| November 25, 2016 Filed Dec 20, 2017 16:23 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | Tax withholdingCommon Stock | 25,785 | $121.97 | $3,144,996.45 |
DisclosureSEC source: 0000908834-17-000288 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,957 F1 · shares: Represents shares of the Issuer's common stock withheld to satisfy Mr. Maura's tax withholding obligation upon the vesting of 50,000 shares of restricted common stock of the Issuer awarded to Mr. Maura on November 25, 2014, pursuant to the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan. Read SEC document |
| October 01, 2016 Filed Oct 4, 2016 17:21 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | GrantCommon Stock | 2,527 | $0.00 | $0.00 |
DisclosureSEC source: 0000908834-16-000714 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,106 F1 · price: Reporting Person was awarded a total of 3,627 shares of restricted stock units under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which settled in shares of common stock of the Issuer and were scheduled to vest in full on October 1, 2016 if Reporting Person were to be an outside director of the Issuer on such date. However, the pro-rated amount of 2,527 shares of the 3,627 shares were forfeited as a result of the Reporting Person's status change from outside director to management director on January 20, 2016. F2 · balance_after: Includes 80,000 shares of restricted common stock of the Issuer awarded to Reporting Person on November 25, 2014 under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which are settled in shares of common stock of the Issuer and which are scheduled to vest in two installments as follows: (i) 50,000 shares on November 25, 2016; and (ii) the remaining 30,000 shares on November 25, 2017 (the "Vesting Dates"). Any remaining unvested portion of the award shall be forfeited and cancelled if Reporting Person voluntarily ceases to provide services either as a director or officer to the Issuer prior to the respective Vesting Date(s) for any unvested portion(s). Read SEC document |
| September 15, 2016 Filed Sep 15, 2016 16:14 UTC | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | PurchaseCommon Stock | 2,000 | $127.47 | $254,940.00 |
DisclosureSEC source: 0000908834-16-000693 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,633 F1 · price: Reflects the weighted average price of 2,000 shares of Common Stock of the Issuer purchased by the Reporting Person in multiple transactions on September 15, 2016, at prices ranging from $127.10 to $127.87 per share. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 80,000 shares of restricted common stock of the Issuer awarded to Reporting Person on November 25, 2014 under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which are settled in shares of common stock of the Issuer and which are scheduled to vest in two installments as follows: (i) 50,000 shares on November 25, 2016; and (ii) the remaining 30,000 shares on November 25, 2017 (the "Vesting Dates"). Any remaining unvested portion of the award shall be forfeited and cancelled if Reporting Person voluntarily ceases to provide services either as a director or officer to the Issuer prior to the respective Vesting Date(s) for any unvested portion(s). F3 · balance_after: Includes 3,627 restricted stock units of the Issuer awarded to Reporting Person under the Spectrum Brands Holdings, Inc. 2011 Omnibus Equity Award Plan which are settled in shares of common stock of the Issuer and which are scheduled to vest in full on October 1, 2016 if Reporting Person is a director of the Issuer on such date. Read SEC document |
| January 20, 2014 Filed Dec 22, 2016 15:11 UTC Amendment | Spectrum Brands Legacy, Inc. SPB · Entity 164964 | GrantCommon Stock (par value $0.01 per share) | 761 | $0.00 | $0.00 |
DisclosureSEC source: 0000908834-16-000777 · edgar.xml · nonDerivative · entry 1 Maura David M · CIK 0001365833 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,117 F1 · ownership.direct: This award of shares was unintentionally omitted from the Form 4 filed on January 22, 2014. These shares were awarded on January 20, 2014, and vested in full on October 1, 2014. These shares of restricted stock units were awarded pursuant to the Reporting Person's election to receive stock in lieu of cash for the quarterly retainer periods for service as a member of the Issuer's Board of Directors during the 3rd and 4th quarters of 2014. 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.