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Home > Insider Trading > Filing (0000908834-15-000427)

Filing Details

Accession Number:
0000908834-15-000427
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-12-04 10:03:13
Reporting Period:
2015-12-01
Filing Date:
2015-12-04
Accepted Time:
2015-12-04 10:03:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1487730 Spectrum Brands Holdings Inc. SPB Miscellaneous Electrical Machinery, Equipment & Supplies (3690) 272166630
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1588034 Andreas Rouve C/O Spectrum Brands Holdings, Inc.
3001 Deming Way
Middleton WI 53562		 President, International & Coo Yes Yes No No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-12-01 9,210 $0.00 66,791 No 4 M Direct
Common Stock Disposition 2015-12-01 4,582 $95.25 62,209 No 4 S Direct
Common Stock Acquisiton 2015-12-01 1,530 $0.00 63,739 No 4 M Direct
Common Stock Disposition 2015-12-01 762 $95.25 62,977 No 4 S Direct
Common Stock Acquisiton 2015-12-01 2,578 $0.00 65,555 No 4 M Direct
Common Stock Disposition 2015-12-01 1,283 $95.25 64,272 No 4 S Direct
Common Stock Acquisiton 2015-12-01 428 $0.00 64,700 No 4 M Direct
Common Stock Disposition 2015-12-01 213 $95.25 64,487 No 4 S Direct
Common Stock Acquisiton 2015-12-01 2,311 $0.00 66,798 No 4 M Direct
Common Stock Disposition 2015-12-01 1,150 $95.25 65,648 No 4 S Direct
Common Stock Acquisiton 2015-12-01 10,339 $0.00 75,987 No 4 M Direct
Common Stock Disposition 2015-12-01 5,144 $95.25 70,843 No 4 S Direct
Common Stock Acquisiton 2015-12-01 5,393 $0.00 76,236 No 4 M Direct
Common Stock Disposition 2015-12-01 2,684 $95.25 73,552 No 4 S Direct
Common Stock Acquisiton 2015-12-01 7,046 $0.00 80,598 No 4 A Direct
Common Stock Disposition 2015-12-01 3,506 $95.25 77,092 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Show Other Fields >>
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Performance Rights Disposition 2015-12-01 10,740 $0.00 10,740 $0.00
Common Stock Performance Rights Disposition 2015-12-01 3,006 $0.00 3,006 $0.00
Common Stock Performance Rights Disposition 2015-12-01 2,311 $0.00 2,311 $0.00
Common Stock Performance Rights Disposition 2015-12-01 10,339 $0.00 10,339 $0.00
Common Stock Performance Rights Disposition 2015-12-01 5,393 $0.00 5,393 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
0 No 4 M Direct
0 No 4 M Direct
17,831 No 4 M Direct
9,301 No 4 M Direct
Footnotes
  1. The remaining 50 percent of the performance rights granted on November 29, 2013 under the Spectrum Brands Holdings, Inc. 2014 Equity Incentive Plan vested on December 1, 2015, and such performance rights, representing the 2014 EIP Service Award portion of Mr. Rouve's 2014 EIP Award, settled for 9,210 shares of the Issuer's common stock.
  2. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of performance rights of the 2014 EIP Service Award portion of Mr. Rouve's 2014 EIP Award.
  3. Mr. Rouve also received 1,530 additional shares, representing the 2014 EIP Additional Award portion of Mr. Rouve's 2014 EIP Award, as the Issuer exceeded by a certain percentage the 2014 adjusted EBITDA and consolidated cash flow targets for the 2014 EIP Performance Award for the fiscal year ended September 30, 2014, and the Issuer's 2015 adjusted EBITDA and consolidated cash flow results for the fiscal year ended September 30, 2015 were greater than the comparable results for 2014.
  4. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of performance rights of the 2014 EIP Additional Award portion of Mr. Rouve's 2014 EIP Award.
  5. The remaining 50 percent of the performance rights granted on February 10, 2014 under the Spectrum Brands Holdings, Inc. 2014 Equity Incentive Plan vested on December 1, 2015, and such performance rights, representing the 2014 EIP Service Award portion of Mr. Rouve's 2014 EIP Award, settled for 2,578 shares of the Issuer's common stock.
  6. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of performance rights of the 2014 EIP Service Award portion of Mr. Rouve's 2014 EIP Award.
  7. Mr. Rouve also received 428 additional shares, representing the 2014 EIP Additional Award portion of Mr. Rouve's 2014 EIP Award, as the Issuer exceeded by a certain percentage the 2014 adjusted EBITDA and consolidated cash flow targets for the 2014 EIP Performance Award for the fiscal year ended September 30, 2014, and the Issuer's 2015 adjusted EBITDA and consolidated cash flow results for the fiscal year ended September 30, 2015 were greater than the comparable results for 2014.
  8. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of performance rights of the 2014 EIP Additional Award portion of Mr. Rouve's 2014 EIP Award.
  9. The remaining 50 percent of the performance rights granted on December 1, 2014 under the Spectrum Brands Holdings, Inc. 2013 Spectrum 750 Plan vested on December 1, 2015, and such performance rights, representing the SPB750 Service Award portion of Mr. Rouve's SPB750 Service Award, settled for 2,311 shares of the Issuer's common stock.
  10. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of the SPB750 Service Award portion of Mr. Rouve's SPB750 Service Award.
  11. 96.6 percent of the performance rights granted on December 15, 2014 under the Spectrum Brands Holdings, Inc. 2015 Equity Incentive Plan ("2015 EIP Award") were earned as of December 1, 2015, and one-half of such performance rights, representing the 2015 EIP Performance Award portion of Mr. Rouve's 2015 EIP Award, settled for 10,339 shares of the Issuer's common stock.
  12. In addition, 10,339 shares, representing the 2015 EIP Service Award portion of Mr. Rouve's 2015 EIP Award, will vest on December 1, 2016, if Mr. Rouve remains employed by the Issuer on such first anniversary. Mr. Rouve shall also be eligible to receive up to 7,492 additional shares, representing the 2015 EIP Additional Award portion of Mr. Rouve's 2015 EIP Award, based on the Issuer exceeding by a certain percentage the 2015 adjusted EBITDA and 2015 FCF targets for the fiscal year ended September 30, 2015. The 2015 EIP Additional Award will vest on December 1, 2016 if Mr. Rouve remains employed by the Issuer as of such date and if the Issuer's 2016 adjusted EBITDA and free cash flow results are equal to or greater than the comparable results for 2015.
  13. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of performance rights of the 2015 EIP Performance Award portion of Mr. Rouve's 2015 EIP Award.
  14. 96.6 percent of the performance rights granted on April 1, 2015 under the Spectrum Brands Holdings, Inc. 2015 Equity Incentive Plan ("2015 EIP Award") were earned as of December 1, 2015, and one-half of such performance rights, representing the 2015 EIP Performance Award portion of Mr. Rouve's 2015 EIP Award, settled for 5,393 shares of the Issuer's common stock.
  15. In addition, 6,720 shares, representing the 2015 EIP Service Award portion of Mr. Rouve's 2015 EIP Award, will vest on December 1, 2016, if Mr. Rouve remains employed by the Issuer on such first anniversary. Mr. Rouve shall also be eligible to receive up to 3,908 additional shares, representing the 2015 EIP Additional Award portion of Mr. Rouve's 2015 EIP Award, based on the Issuer exceeding by a certain percentage the 2015 adjusted EBITDA and 2015 FCF targets for the fiscal year ended September 30, 2015. The 2015 EIP Additional Award will vest on December 1, 2016 if Mr. Rouve remains employed by the Issuer as of such date and if the Issuer's 2016 adjusted EBITDA and free cash flow results are equal to or greater than the comparable results for 2015.
  16. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding obligation upon the vesting and settling of performance rights of the 2015 EIP Performance Award portion of Mr. Rouve's 2015 EIP Award.
  17. The shares represent the cash value of the Management Incentive Award under the Issuer's 2015 Management Incentive Plan.
  18. These shares of the Issuer's common stock were sold in a private sale to satisfy Mr. Rouve's tax withholding requirements resulting from the grant of his Management Incentive Award.
  19. Each performance right represents a contingent right to receive one share of the Issuer's common stock.
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