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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 | ||||||||
Deferred Shares | (3) | 06/05/2009 | C | 3,035 | 06/05/2009 | 06/05/2009 | Common Shares | 3,035 | $ 0 | 0 | D | ||||
Deferred Shares | (4) | 06/12/2011 | 06/12/2011 | Common Shares | 3,265 | 3,265 | D | ||||||||
Deferred Shares | $ 0 (3) | 06/13/2010 | 06/13/2010 | Common Shares | 3,885 | 3,885 | D | ||||||||
Option Common Shares | $ 44.17 | 10/28/2005 | 10/27/2014 | Common Shares | 8,000 | 8,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMUCKER MARK T ONE STRAWBERRY LANE ORRVILLE, OH 44667-0280 |
President |
/s/ M. Ann Harlan, POA | 06/08/2009 | |
**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) | I disclaim beneficial ownership of these shares. |
(2) | Smucker common shares withheld by the Company to satisfy tax liability upon the vesting of restricted common shares, pursuant to The J. M. Smucker Company 1998 Equity and Performance Incentive Plan. |
(3) | Deferred Shares issued under The J. M. Smucker Company 1998 Equity and Performance Incentive Plan are payable in Common Shares at a rate of 1-for-1 on the fourth anniversary of the date of grant. |
(4) | Restricted Stock Units issued under The J. M. Smucker Company 2006 Equity Compensation Plan are payable in common stock at a rate of 1-for-1 on the fourth anniversary of the date of grant. The Plan also provides that restricted stock units will become unrestricted when a participant attains the age of 60 and the participant has at least 10 years of service with the Company. |