0000950142-18-002348.txt : 20181204 0000950142-18-002348.hdr.sgml : 20181204 20181204170903 ACCESSION NUMBER: 0000950142-18-002348 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181201 FILED AS OF DATE: 20181204 DATE AS OF CHANGE: 20181204 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: 181217662 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: 3001 DEMING WAY CITY: MIDDLETON STATE: WI ZIP: 53562 BUSINESS PHONE: 608-275-3340 MAIL ADDRESS: STREET 1: 3001 DEMING WAY CITY: MIDDLETON STATE: WI ZIP: 53562 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 2018-12-01 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 2018-12-01 4 M 0 9272 A 289934 D Common Stock 2018-12-01 4 F 0 3649 49.38 D 286285 D Performance Rights 2018-12-01 4 M 0 9272 D Common Stock 9272 0 D 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 9,272 shares, representing the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award, vested on December 1, 2018. The reporting person forfeited an additional 87 shares, representing the 2017 EIP Additional Award portion of the reporting person's 2017 EIP Award, as the requirements for the Issuer's consolidated free cash flow results for 2018 were not met. Represents shares of the Issuer's common stock withheld to satisfy the reporting person's tax withholding obligation upon the vesting and settling of performance rights of the 2017 EIP Service Award portion of the reporting person's 2017 EIP Award. Each performance right represents a contingent right to receive one share of the Issuer's common stock. /s/ Sara Pollock, Attorney-in-Fact 2018-12-04