Rayovac 2008 Annual Report Download - page 122

Table of Contents
Index to Financial Statements
of the close of business on December 8, 2008, ACPGP, however, has not filed a Schedule 13D or Schedule 13G with respect to this information.
(6) Includes 539,628 shares of restricted stock and 982 shares held in the Company’s 401(k) plan.
(7) Includes 108,002 shares of restricted stock.
(8) Includes 241,847 shares of restricted stock.
(9) Includes 192,457 shares of restricted stock.
(10) Includes 16,101 shares are restricted stock.
(11) Includes 15,612 shares of restricted stock.
(12) Includes 15,612 shares of restricted stock.
(13) Includes 15,612 shares of restricted stock.
(14) Includes 18,945 shares of restricted stock.
(15) Of the shares included, 1,163,816 are shares of restricted stock and 982 shares are held in the Company’s 401(k) plan.
(16) Includes 144,136 shares of restricted stock.
As of December 8, 2008, we are aware of two other entities that have also filed a Schedule 13F for the quarter ended September 30, 2008 in which each claims
certain investment discretion over shares of Common Stock. Based on information set forth in a Schedule 13F for the fiscal quarter Ended September 30, 2008
and filed with the SEC on November 12, 2008 on behalf of Barclays Global Investors UK Holdings Limited (“Barclays UK”), Barclays UK claims shared
investment discretion over 3,274,969 shares of Common Stock with Barclays Global Investors Ltd. (“Barclays Ltd.”), Barclays Global Investors, N.A. (“Barclays
N.A.”) and Barclays Global Fund Advisors (“Barclays Global” and together with Barclays UK and Barclays Ltd., the “Barclays Parties”). Additionally, based on
information set forth in a Restatement to Schedule 13F for the fiscal quarter Ended September 30, 2008 and filed with the SEC on November 14, 2008 on behalf
of Renaissance Technologies, L.L.C. (“Renaissance”), Renaissance claims sole investment discretion over 3,423,700 shares of Common Stock. As of the close of
business on December 8, 2008, none of the Barclays Parties or Renaissance has filed a Schedule 13D or Schedule 13G with respect to this information.
Equity Compensation Plan Information
The following table sets forth information regarding our equity compensation plans as of September 30, 2008:
Plan category
Number of securities to be issued
upon the exercise of outstanding
options, warrants and rights
Weighted-average
exercise price of
outstanding
options, warrants
and rights
Number of securities remaining
available for future issuance under
equity compensation plans
(excluding securities reflected in
column (a))(1)
(a) (b) (c)
Equity compensation plans approved by security holders 510,162 $ 15.06 940,083(2)
Equity compensation plans not approved by security holders None Not Applicable None
Total 510,162 $ 15.06 940,083(2)
(1) Includes 940,083 shares of Common Stock available for future issuance under the 2004 Rayovac Incentive Plan. In addition to stock options, awards under
the 2004 Rayovac Incentive Plan may take the form of restricted stock and other stock-based awards specified in the 1997 Rayovac Incentive Plan. If such
awards are granted, they will reduce the number of shares available for issuance pursuant to future stock option awards.
(2) This amount excludes an aggregate of 1,873,349 shares of restricted stock awards outstanding as of September 30, 2008 for which the restrictions have not
lapsed.
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Source: Spectrum Brands, Inc, 10-K, December 10, 2008