Initial Statement of Beneficial Ownership (3)
May 19 2020 - 4:25PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Hammer David Mark |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/11/2020
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3. Issuer Name and Ticker or Trading Symbol
NEWELL BRANDS INC. [NWL]
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(Last)
(First)
(Middle)
C/O NEWELL BRANDS INC., 6655 PEACHTREE DUNWOODY ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Business Unit CEO - A&C / |
(Street)
ATLANTA, GA 30328
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 23998.9079 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | (3) | Common Stock | 6311.0 | (4) | D | |
Restricted Stock Units | (5) | (3) | Common Stock | 8074.0 | (4) | D | |
Stock Option (Right to Buy) | (6) | 2/18/2030 | Common Stock | 27914.0 | $20.02 | D | |
Explanation of Responses: |
(1) | Includes 2,839.9079 shares of Newell Brands Inc. (the "Company") common stock owned in a joint account with the reporting person's spouse. |
(2) | Restricted stock units granted on February 14, 2018. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These restricted stock units will vest in full on the third anniversary of the grant date, but the award may vest earlier in the event of the reporting person's death or disability. |
(3) | N/A |
(4) | Restricted stock units convert into shares of the Company's common stock on a one-for-one basis. |
(5) | Restricted stock units granted on February 19, 2019. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These restricted stock units will vest ratably in one-half increments on the second and third anniversaries of the award, but the award may vest earlier in the event of the reporting person's death or disability. |
(6) | Stock option granted on February 18, 2020. The option vests ratably in one-third increments on the first, second, and third anniversaries of the grant date, subject to the reporting person's continuous employment with the Company. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hammer David Mark C/O NEWELL BRANDS INC. 6655 PEACHTREE DUNWOODY ROAD ATLANTA, GA 30328 |
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| Business Unit CEO - A&C |
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Signatures
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/s/ Miriam Steinberg, Attorney in Fact for David M. Hammer | | 5/19/2020 |
**Signature of Reporting Person | Date |
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