0000950142-18-001570.txt : 20180717
0000950142-18-001570.hdr.sgml : 20180717
20180717173445
ACCESSION NUMBER: 0000950142-18-001570
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180713
FILED AS OF DATE: 20180717
DATE AS OF CHANGE: 20180717
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Neu Stacey L
CENTRAL INDEX KEY: 0001658928
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 18957241
MAIL ADDRESS:
STREET 1: C/O SPECTRUM BRANDS HOLDINGS, INC.
STREET 2: 3001 DEMING WAY
CITY: MIDDLETON
STATE: WI
ZIP: 53562
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Spectrum Brands Holdings, Inc.
CENTRAL INDEX KEY: 0000109177
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
IRS NUMBER: 741339132
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 450 PARK AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-906-8548
MAIL ADDRESS:
STREET 1: 450 PARK AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: HRG GROUP, INC.
DATE OF NAME CHANGE: 20150311
FORMER COMPANY:
FORMER CONFORMED NAME: HARBINGER GROUP INC.
DATE OF NAME CHANGE: 20091224
FORMER COMPANY:
FORMER CONFORMED NAME: ZAPATA CORP
DATE OF NAME CHANGE: 19920703
4
1
ownership.xml
OWNERSHIP DOCUMENT
X0306
4
2018-07-13
0
0000109177
Spectrum Brands Holdings, Inc.
SPB
0001658928
Neu Stacey L
C/O SPECTRUM BRANDS HOLDINGS, INC.
3001 DEMING WAY
MIDDLETON
WI
53562
0
1
0
0
SVP of Human Resources
Common Stock
2018-07-13
4
A
0
11438
0
A
11438
D
Performance Rights
2018-07-13
4
A
0
2340
A
Common Stock
2340
2340
D
Represents shares of common stock of the Issuer ("Issuer Shares") and restricted stock units with respect to Issuer Shares that were acquired in exchange for an equal number of shares of common stock of Spectrum Brands Legacy, Inc. (f/k/a Spectrum Brands Holdings, Inc.), a Delaware corporation ("Legacy Spectrum"), and restricted stock units with respect to shares of common stock of Legacy Spectrum in connection with a merger (the "Merger") pursuant to which Legacy Spectrum became a direct subsidiary of the Issuer.
Each performance right represents a contingent right to receive one Issuer Share.
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 Ms. Neu's 2017 EIP Award, settled for 2,318 shares of the Issuer Shares and are included in Table I. In addition, 2,318 shares, representing the 2017 EIP Service Award portion of Ms. Neu's 2017 EIP Award, will vest on December 1, 2018 if Ms. Neu remains employed by the Issuer on such first anniversary.
Ms. Neu also shall be eligible to receive up to 22 additional shares, representing the 2017 EIP Additional Award portion of Ms. Neu's 2017 EIP Award, based on the Issuer exceeding 2017 consolidated free cash flow targets for the fiscal year ending September 30, 2018. The 2017 EIP Additional Award will vest on December 1, 2018 if Ms. Neu 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.
/s/ Nathan E. Fagre, Attorney-in-Fact
2018-07-17