Statement of Changes in Beneficial Ownership (4)
February 20 2020 - 6:36PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Mullen John Patrick |
2. Issuer Name and Ticker or Trading Symbol
SERVICEMASTER GLOBAL HOLDINGS INC
[
SERV
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP, Controller & CAO |
(Last)
(First)
(Middle)
150 PEABODY PLACE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2020 |
(Street)
MEMPHIS, TN 38103-3720
(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 Stock | 2/18/2020 | | M | | 1012 | A | (1) | 6684 | D | |
Common Stock | 2/18/2020 | | M | | 1324 | A | (2) | 8008 | D | |
Common Stock | 2/18/2020 | | F | | 1081 (3) | D | $36.7551 (4) | 6927 | D | |
Common Stock | 2/20/2020 | | M | | 1506 | A | (5) | 8433 | D | |
Common Stock | 2/20/2020 | | F | | 665 (3) | D | $38.0057 (6) | 7768 | 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. 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 |
Restricted Stock Units | (1) | 2/18/2020 | | M | | 1012 | | (1) | (1) | Common Stock | 1012 | (1) | 1012 | D | |
Restricted Stock Units | (2) | 2/18/2020 | | M | | 1324 | | (2) | (2) | Common Stock | 1324 | (2) | 2648 | D | |
Restricted Stock Units | (5) | 2/20/2020 | | M | | 1506 | | (5) | (5) | Common Stock | 1506 | (5) | 0 | D | |
Explanation of Responses: |
(1) | Each unit is the economic equivalent of one share of the Company's common stock. The restricted stock units were granted on February 18, 2018, and vest and settle in three equal installments on the first three anniversaries of the grant date, subject to continued employment with the Company. |
(2) | Each unit is the economic equivalent of one share of the Company's common stock. The restricted stock units were granted on February 18, 2019, and vest and settle in three equal installments on the first three anniversaries of the grant date, subject to continued employment with the Company. |
(3) | The reporting person is reporting the sale of shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the vesting and delivery of shares. |
(4) | The price reported in Table 1, Column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.6035-$36.8010, inclusive. The reporting person undertakes to provide ServiceMaster, any security holder of ServiceMaster, 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 ranges set forth in this Form 4. |
(5) | Each unit is the economic equivalent of one share of the Company's common stock. The restricted stock units were granted on February 20, 2017, and vested and settled in three equal installments on the first three anniversaries of the grant date. |
(6) | The price reported in Table 1, Column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.925-$38.0059, inclusive. The reporting person undertakes to provide ServiceMaster, any security holder of ServiceMaster, 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 ranges set forth in this Form 4. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mullen John Patrick 150 PEABODY PLACE MEMPHIS, TN 38103-3720 |
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| VP, Controller & CAO |
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Signatures
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/s/ Dirk R. Gardner, attorney in fact for John P. Mullen | | 2/20/2020 |
**Signature of Reporting Person | Date |
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