0000899243-16-021084.txt : 20160526 0000899243-16-021084.hdr.sgml : 20160526 20160526191331 ACCESSION NUMBER: 0000899243-16-021084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160524 FILED AS OF DATE: 20160526 DATE AS OF CHANGE: 20160526 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: 770-418-7000 MAIL ADDRESS: STREET 1: 6655 PEACHTREE DUNWOODY ROAD CITY: ATLANTA STATE: GA ZIP: 30328 FORMER COMPANY: FORMER CONFORMED NAME: NEWELL RUBBERMAID INC DATE OF NAME CHANGE: 19990329 FORMER COMPANY: FORMER CONFORMED NAME: NEWELL CO DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NEW NEWELL CO DATE OF NAME CHANGE: 19870713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASHKEN IAN G H CENTRAL INDEX KEY: 0001093725 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09608 FILM NUMBER: 161679688 MAIL ADDRESS: STREET 1: 555 THEODORE FREMD AVE STREET 2: SUITE B-203 CITY: RYE STATE: NY ZIP: 10580 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-24 0 0000814453 NEWELL BRANDS INC NWL 0001093725 ASHKEN IAN G H C/O NEWELL BRANDS INC. 6655 PEACHTREE DUNWOODY ROAD ATLANTA GA 30328 1 0 0 0 Call option (obligation to sell) 52.82 2016-05-24 4 S 1 1 D 2017-03-14 2017-03-14 Common Stock 481852 1 D Put option (right to sell) 43.22 2016-05-24 4 P 1 1 A 2017-03-14 2017-03-14 Common Stock 481852 1 D The reporting person entered into a collar arrangement pursuant to which he wrote a covered call option and purchased a put option. Only one of the options can be in the money on the expiration date, at which time the in-the-money option will be excercised (and settled for cash), and the other option will expire. If neither option is in the money on the expiration date, both options will expire. Proceeds from the sale of the call option were used to partially offset the price for the purchase of the put option. After such offset, the purchase price of the collar was $472,023. /s/ Michael R. Peterson, Attorney in Fact for Ian G.H. Ashken 2016-05-26