Statement of Changes in Beneficial Ownership (4)
June 17 2022 - 5:40PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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SMUCKER RICHARD K |
2. Issuer Name and Ticker or Trading Symbol
J M SMUCKER Co
[
SJM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman |
(Last)
(First)
(Middle)
ONE STRAWBERRY LANE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/15/2022 |
(Street)
ORRVILLE, OH 44667-0280
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 6/15/2022 | | A | | 1729 (1) | A | $0 | 648044 | D | |
Common Shares | 6/15/2022 | | A | | 4974 (2) | A | $0 | 653018 | D | |
Common Shares | 6/15/2022 | | F | | 2008 (3) | D | $125.82 | 651010 | D | |
Common Shares | | | | | | | | 26987.396 | I | By 401(k) (4) |
Common Shares | | | | | | | | 100000 | I | By Wife (5) |
Common Shares | | | | | | | | 106707 | I | by Wife as Trustee for the Benefit of Grandchildren (5) |
Common Shares | | | | | | | | 477796 | I | By Trust Fbo Daughter (5) |
Common Shares | | | | | | | | 477798 | I | Co-trustee Fbo Brother (5) |
Common Shares | | | | | | | | 477798 | I | Co-trustee Fbo Sister (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option Common Shares | $125.82 | 6/15/2022 | | A | | 9136 | | (6) | 6/15/2032 | Common Shares | 9136.0 | $0 | 9136 | D | |
Explanation of Responses: |
(1) | The restricted stock granted for fiscal year 2023 pursuant to The J. M. Smucker Company 2020 Equity and Incentive Compensation Plan vests in three equal annual installments beginning on June 15, 2023. |
(2) | This amount represents shares of common stock received upon settlement of a performance units award granted to the reporting person on June 13, 2019. |
(3) | Smucker common shares withheld by the Company to satisfy tax liability upon the vesting of restricted stock pursuant to The J. M. Smucker Company 2020 Equity and Incentive Compensation Plan. |
(4) | This amount includes shares acquired under (i) the Company's 401(k) plan since the date of the reporting person's last ownership report and (ii) the Company's dividend reinvestment plan as administered by its transfer agent. |
(5) | The reporting person disclaims beneficial ownership of these shares. |
(6) | The option, which was granted for fiscal year 2023 pursuant to The J. M. Smucker Company 2020 Equity and Incentive Compensation Plan, vests in three equal annual installments beginning on June 15, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SMUCKER RICHARD K ONE STRAWBERRY LANE ORRVILLE, OH 44667-0280 | X |
| Executive Chairman |
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Signatures
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/s/ Jeannette L. Knudsen, POA | | 6/17/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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