Spectrum Brands, Inc. - Initial Statement of Beneficial Ownership (3)
05 Settembre 2008 - 11:14PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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February 28, 2011
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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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1. Name and Address of Reporting Person
*
Williams David B.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/11/2008
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3. Issuer Name
and
Ticker or Trading Symbol
Spectrum Brands, Inc. [SPC]
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(Last)
(First)
(Middle)
860 CANAL STREET, 3RD FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
STAMFORD, CT 06902
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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5148002
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I
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By Cookie Jar LLC
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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SPX XA (DEC 5 PUT)
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6/11/2008
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12/5/2008
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SPC Common Stock
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124000
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$5.00
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I
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By Williams Trading LLC
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SPX XA (DEC 5 PUT)
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6/12/2008
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12/5/2008
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SPC Common Stock
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139800
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$5.00
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I
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By Williams Trading LLC
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SPX XA (DEC 5 PUT)
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6/13/2008
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12/5/2008
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SPC Common Stock
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10000
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$5.00
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I
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By Williams Trading LLC
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SPX XA (DEC 5 PUT)
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6/25/2008
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12/5/2008
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SPC Common Stock
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40500
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$5.00
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I
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By Williams Trading LLC
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Explanation of Responses:
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Remarks:
The address of Cookie Jar LLC is 860 Canal St., 3rd Floor, Stamford, CT 06902. The sale of the
derivative securities listed in Table II created a call equivalent in the underlying shares of common stock and the
Reporting Person was not made aware of the resulting filing requirements until just recently.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Williams David B.
860 CANAL STREET
3RD FLOOR
STAMFORD, CT 06902
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X
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Signatures
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/s/ David B. Williams
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9/5/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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