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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Equivalent 7/8/2015 | $ 0 | 07/06/2016 | J | 2,002 | (3) | (3) | Common Stock | 2,002 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 10/13/2008 | $ 0 | 07/06/2016 | M | 28,159 | (1) | (1) | Common Stock | 28,159 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 10/10/2007 | $ 0 | 07/06/2016 | M | 18,336 | (1) | (1) | Common Stock | 18,336 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 10/12/2009 | $ 0 | 07/06/2016 | M | 34,176 | (1) | (1) | Common Stock | 34,176 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 5/19/2003 | $ 0 | 07/06/2016 | M | 26,258 | (1) | (1) | Common Stock | 26,258 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 3/26/2001 | $ 0 | 07/06/2016 | M | 16,548 | (1) | (1) | Common Stock | 16,548 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 1/16/2001 | $ 0 | 07/06/2016 | M | 8,964 | (1) | (1) | Common Stock | 8,964 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 12/7/2000 | $ 0 | 07/06/2016 | M | 6,714 | (1) | (1) | Common Stock | 6,714 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 8/25/2000 | $ 0 | 07/06/2016 | M | 2,685 | (1) | (1) | Common Stock | 2,685 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 8/16/2000 | $ 0 | 07/06/2016 | M | 5,371 | (1) | (1) | Common Stock | 5,371 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 1/14/2005 | $ 0 | 07/06/2016 | M | 29,388 | (1) | (1) | Common Stock | 29,388 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 11/6/2013 | $ 0 | 07/06/2016 | J | 4,717 | (4) | (4) | Common Stock | 4,717 | $ 0 | 38,913 | D | ||||
Restricted Stock Equivalent 11/13/2014 | $ 0 | 07/06/2016 | J | 7,386 | (3) | (3) | Common Stock | 7,386 | $ 0 | 36,929 | D | ||||
Restricted Stock Equivalent 11/13/2014 | $ 0 | 07/06/2016 | M | 36,929 | (2) | (2) | Common Stock | 36,929 | $ 0 | 0 | D | ||||
Restricted Stock Equivalent 11/6/2013 | $ 0 | 07/06/2016 | J | 1,616 | (3) | (3) | Common Stock | 1,616 | $ 0 | 12,927 | D | ||||
Restricted Stock Equivalent 11/6/2013 | $ 0 | 07/06/2016 | M | 12,927 | (2) | (2) | Common Stock | 12,927 | $ 0 | 0 | D | ||||
Phantom Stock Units in Deferred Compensation | $ 0 | 07/06/2016 | M | 13,265 | (5) | (5) | Common Stock | 13,265 | $ 0 | 0 | D | ||||
Phantom Stock Units in Deferred Compensation | $ 0 | 07/06/2016 | M | 124,201 | (5) | (5) | Common Stock | 124,201 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KLEIN WARD M C/O EDGEWELL PERSONAL CARE COMPANY 1350 TIMBERLAKE MANOR PARKWAY CHESTERFIELD, MO 63017 |
X | Executive Chairman |
Jeffrey A. Gershowitz, Attorney-in-Fact | 07/08/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Previously deferred Restricted Stock Equivalents converted into shares of Edgewell common stock due to Mr. Klein's retirement on July 6, 2016. These shares of Edgewell common stock will be delivered to Mr. Klein on January 6, 2017. |
(2) | Restricted Stock Equivalents accelerated vesting and converted into shares of Edgewell common stock due to Mr. Klein's retirement on July 6, 2016. These shares of Edgewell common stock will be delivered to Mr. Klein on January 6, 2017. |
(3) | Restricted Stock Equivalents forfeited prior to vesting due to Mr. Klein's retirement on July 6, 2016. |
(4) | Prorated portion of Restricted Stock Equivalents forfeited due to Mr. Klein's retirement on July 6, 2016. The remaining Restricted Stock Equivalents will vest and convert into shares of Edgewell common stock on the date that Edgewell releases its earnings report for the fiscal year ending on September 30, 2016. |
(5) | Previously deferred Phantom Stock Units became payable due to Mr. Klein's retirement on July 6, 2016. Mr. Klein will be paid the cash equivalent of these units on January 6, 2017. |