0000950142-18-001579.txt : 20180717 0000950142-18-001579.hdr.sgml : 20180717 20180717173724 ACCESSION NUMBER: 0000950142-18-001579 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: Maura David M CENTRAL INDEX KEY: 0001365833 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04219 FILM NUMBER: 18957249 MAIL ADDRESS: STREET 1: C/O MOSAIC ACQUISITION CORP. STREET 2: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 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 0001365833 Maura David M C/O SPECTRUM BRANDS HOLDINGS, INC. 3001 DEMING WAY MIDDLETON WI 53562 1 1 0 0 Executive Chairman and CEO Common Stock 2018-07-13 4 A 0 282959 0.00 A 438980 D Performance Rights 2018-07-13 4 A 0 9360 A Common Stock 9360 9360 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. Includes 156,021 Issuer Shares resulting from a reverse stock split whereby, as of immediately prior to the effective time of the Merger, each Issuer Share was combined into 0.1613 Issuer Shares. 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 Mr. Maura's 2017 EIP Award, settled for 9,272 shares of the Issuer Shares and are included in Table I. 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. 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 ending 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. /s/ Nathan E. Fagre, Attorney-in-Fact 2018-07-17