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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Rights | (1) | 11/16/2012 | M | 18,518 | (1) | 09/30/2013 | Common Stock | 18,518 | (1) | 18,518 | D | ||||
Performance Rights | (3) | 11/16/2012 | M | 44,444 | (3) | 09/30/2013 | Common Stock | 44,444 | (3) | 44,444 | D | ||||
Performance Rights | (5) | 11/16/2012 | M | 14,815 | (5) | 09/30/2013 | Common Stock | 14,815 | (5) | 14,815 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Genito Anthony L C/O SPECTRUM BRANDS HOLDINGS, INC. 601 RAYOVAC DRIVE MADISON, WI 53711 |
EVP, CFO and CAO |
/s/ Nathan E. Faegre, attorney-in-fact | 11/20/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 50% of the performance rights granted on November 15, 2020 under the Issuer's 2011 Two-Year Equity Award Plan vested on November 16, 2012 and such performance rights settled for 18,518 shares of the Issuer's common stock (the "Two-Year Award"). In addition, an amount equal to the Two-Year Award will vest on September 30, 2013, if Mr. Genito is employed by the Issuer on such date. |
(2) | Represents 8,026 shares of Issuer's common stock automatically withheld to satisfy Mr. Genito's tax withholding obligation upon the vesting of performance rights representing 18,518 shares. |
(3) | 50% of the performance rights granted on November 28, 2011 under the Issuer's 2012 Equity Award Plan vested on November 16, 2012 and such performance rights settled for 44,444 shares of the Issuer's common stock (the "2012 Award"). In addition, an amount equal to the 2012 Award will vest on September 30, 2013, if Mr. Genito is employed by the Issuer on such date. |
(4) | Represents 19,645 shares of Issuer's common stock automatically withheld to satisfy Mr. Genito's tax withholding obligation upon the vesting of performance rights representing 44,444 shares. |
(5) | 50% of the performance rights granted on November 28, 2011 under the Issuer's 2012 Equity Award Plan for exceeding performance targets vested on November 16, 2012 and such performance rights settled for 14,815 shares of the Issuer's common stock. In addition, an amount equal to the settlement will vest on September 30, 2013, if Mr. Genito is employed by the Issuer on such date. |
(6) | Represents 6,549 shares of Issuer's common stock automatically withheld to satisfy Mr. Genito's tax withholding obligation upon the vesting of performance rights representing 14,815 shares. |