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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 127.985 | 01/27/2017 | M | 13 | 07/17/2013 | 07/16/2022 | Common Stock | 13 | $ 0 | 0 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 127.985 | 01/27/2017 | M | 12 | 07/17/2014 | 07/16/2022 | Common Stock | 12 | $ 0 | 0 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 127.985 | 01/27/2017 | M | 13 | 07/17/2015 | 07/16/2022 | Common Stock | 13 | $ 0 | 0 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 154.4325 | 01/27/2017 | M | 339 | 10/17/2013 | 10/16/2022 | Common Stock | 339 | $ 0 | 0 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 154.4325 | 01/27/2017 | M | 161 | 10/17/2014 | 10/16/2022 | Common Stock | 161 | $ 0 | 327 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 180.46 | 01/27/2017 | M | 184 | 10/16/2014 | 10/15/2023 | Common Stock | 184 | $ 0 | 136 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 180.46 | 01/27/2017 | M | 183 | 10/16/2015 | 10/15/2023 | Common Stock | 183 | $ 0 | 136 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 227.73 | 01/27/2017 | M | 204 | 10/22/2015 | 10/21/2024 | Common Stock | 204 | $ 0 | 0 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 227.73 | 01/27/2017 | M | 17 | 10/22/2016 | 10/21/2024 | Common Stock | 17 | $ 0 | 186 | I | By spouse | |||
Employee Stock Option (Right to Buy) | $ 239.55 | 01/27/2017 | M | 204 | 10/16/2016 | 10/15/2025 | Common Stock | 204 | $ 0 | 0 | I | By spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mistysyn Allen J 101 W. PROSPECT AVENUE CLEVELAND, OH 44115 |
SVP - Finance & CFO |
Catherine M. Kilbane, Attorney-in-fact | 01/31/2017 | |
**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) | Employee stock option of the reporting person's spouse granted prior to their marriage in late 2016. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $304.66 to $304.87 inclusive. The reporting person undertakes to provide to The Sherwin-Williams Company, any security holder of The Sherwin-Williams Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(3) | Of shares listed, 570 are restricted stock and 95 are restricted stock units, which were acquired by the reporting person's spouse prior to their marriage in late 2016. The reporting person disclaims beneficial ownership of the shares held by his spouse. |
(4) | Of shares listed, 1,750 are restricted stock and 1,050 are restricted stock units. |
(5) | Represents the number of shares of common stock attributable to the reporting person's participation in The Sherwin-Williams Company Employee Stock Purchase and Savings Plan per the trustee's 12/31/2016 statement. |
(6) | Represents the number of shares of common stock attributable to the reporting person's spouse's participation in The Sherwin-Williams Company Employee Stock Purchase and Savings Plan per the trustee's 12/31/2016 statement. The reporting person disclaims beneficial ownership of the shares held by his spouse. |