0000814453-21-000093.txt : 20210506 0000814453-21-000093.hdr.sgml : 20210506 20210506162914 ACCESSION NUMBER: 0000814453-21-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210504 FILED AS OF DATE: 20210506 DATE AS OF CHANGE: 20210506 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAMPBELL PATRICK D CENTRAL INDEX KEY: 0001196472 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09608 FILM NUMBER: 21898281 BUSINESS ADDRESS: STREET 1: MINNESOTA MINING & MANUFACTURING CO STREET 2: 3M CENTER CITY: ST. PAUL STATE: MN ZIP: 55133 BUSINESS PHONE: (312) 569-1558 MAIL ADDRESS: STREET 1: MINNESOTA MINING & MANUFACTURING CO STREET 2: 3M CENTER CITY: ST. PAUL STATE: IL ZIP: 55133 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEWELL BRANDS INC. CENTRAL INDEX KEY: 0000814453 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 363514169 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6655 PEACHTREE DUNWOODY ROAD CITY: ATLANTA STATE: GA ZIP: 30328 BUSINESS PHONE: 800-424-1941 MAIL ADDRESS: STREET 1: 6655 PEACHTREE DUNWOODY ROAD CITY: ATLANTA STATE: GA ZIP: 30328 FORMER COMPANY: FORMER CONFORMED NAME: NEWELL BRANDS, INC. DATE OF NAME CHANGE: 20191017 FORMER COMPANY: FORMER CONFORMED NAME: NEWELL BRANDS INC DATE OF NAME CHANGE: 20160415 FORMER COMPANY: FORMER CONFORMED NAME: NEWELL RUBBERMAID INC DATE OF NAME CHANGE: 19990329 4 1 wf-form4_162033291471951.xml FORM 4 X0306 4 2021-05-04 0 0000814453 NEWELL BRANDS INC. NWL 0001196472 CAMPBELL PATRICK D C/O NEWELL BRANDS INC. 6655 PEACHTREE DUNWOODY ROAD ATLANTA GA 30328 1 0 0 0 Deferred RSU Phantom Stock 2021-05-04 4 A 0 5167 0 A Common Stock 5167.0 5167 D Deferred RSU Phantom Stock Common Stock 7141.082 7141.082 D Deferred RSU Phantom Stock Common Stock 9535.288 9535.288 D Represents an award of restricted stock units ("RSUs") which, pursuant to the reporting person's grant agreement with the Company, are scheduled to vest on the earlier of: (i) the first anniversary of the grant date; or (ii) the date immediately preceding the Company's 2022 annual meeting of its stockholders (as applicable, the "RSU Vesting Date"), with vesting conditioned upon the reporting person's continuous service on the Board until the RSU Vesting Date, and with the award being eligible to vest before the RSU Vesting Date in the event of the reporting person's death, disability or retirement. Pursuant to the grant agreement, as of the RSU Vesting Date, the reporting person would also be entitled to receive a cash payment equal to the value of dividends paid by the Company on an equal number of shares of the Company's Common Stock during the period from the grant date specified in Table II to the RSU Vesting Date (the "Vesting Year Dividend Payment"). Pursuant to the Company's 2008 Deferred Compensation Plan, as amended (the "DCP"), the reporting person elected to defer vesting of the award and instead shall become eligible to receive on the RSU Vesting Date: (i) phantom stock units and (ii) the Vesting Year Dividend Payment. Settlement of the phantom stock units received on the RSU Vesting Date will be deferred until after the end of the reporting person's service on the Board of the Company. At the end of the deferral period, the phantom stock units will settle on a one-for-one basis for shares of the Company's Common Stock. During the deferral period, additional phantom stock units will continue to accrue pursuant to a dividend reinvestment feature of the DCP. At the end of the deferral period, the reporting person will also have the right to receive the cash equivalent of the additional phantom stock units accrued. Before the RSU Vesting Date, each RSU represents a contingent right to receive one phantom stock unit. On and after the RSU Vesting Date, each phantom stock unit will represent the right to receive one share of Common Stock of the Company at the end of the deferral period. The RSUs will be exchanged for an equal number of phantom stock units on the RSU Vesting Date. The phantom stock units to be acquired pursuant to this award on the RSU Vesting Date will be settled on a one-for-one basis for shares of the Company's Common Stock after the end of the reporting person's service on the Board. On the settlement date, all additional phantom stock units acquired during the deferral period through reinvested dividends will also be payable to the reporting person in cash. The cash value will be calculated based on the closing stock price for the Company's Common Stock on the settlement date. N/A Represents a vested award of 6,422 restricted stock units ("RSUs") first granted on May 15, 2018, pursuant to the Newell Rubbermaid Inc. 2013 Incentive Plan. The reporting person elected to defer settlement on the scheduled vesting date and the RSUs instead converted to an equal number of phantom stock units, in accordance with the DCP. The 6,422 phantom stock units will settle on a one for one basis for shares of the Company's Common Stock after the end of the reporting person's service on the Company's Board. The reporting person's 6,422 phantom stock units will convert to shares of the Company's Common Stock on a one-for-one basis after the end of the reporting person's service on the Company's Board, in accordance with the DCP. The reported total includes 62.379 additional phantom stock units acquired by the reporting person since the date of his last report pursuant to a dividend reinvestment feature of the DCP. The additional phantom stock units acquired pursuant to the dividend reinvestment feature will be settled for cash after the end of the reporting person's service on the Company's Board. Represents a vested award of 9,085 restricted stock units ("RSUs") first granted on May 7, 2019, pursuant to the Newell Rubbermaid Inc. 2013 Incentive Plan. The reporting person elected to defer settlement on the scheduled vesting date and the RSUs instead converted to an equal number of phantom stock units, in accordance with the DCP. The 9,085 phantom stock units will settle on a one for one basis for shares of the Company's Common Stock after the end of the reporting person's service on the Company's Board. The reporting person's 9,085 phantom stock units will convert to shares of the Company's Common Stock on a one-for-one basis after the end of the reporting person's service on the Company's Board, in accordance with the DCP. The reported total includes 83.293 additional phantom stock units acquired by the reporting person since the date of his last report pursuant to a dividend reinvestment feature of the DCP. The additional phantom stock units acquired pursuant to the dividend reinvestment feature will be settled for cash after the end of the reporting person's service on the Company's Board. /s/ Raj Dave, attorney-in-fact for Patrick D. Campbell 2021-05-06