<SEC-DOCUMENT>0000814453-17-000093.txt : 20171128
<SEC-HEADER>0000814453-17-000093.hdr.sgml : 20171128
<ACCEPTANCE-DATETIME>20171128160446
ACCESSION NUMBER:		0000814453-17-000093
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20171121
ITEM INFORMATION:		Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
FILED AS OF DATE:		20171128
DATE AS OF CHANGE:		20171128

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			NEWELL BRANDS INC
		CENTRAL INDEX KEY:			0000814453
		STANDARD INDUSTRIAL CLASSIFICATION:	PLASTICS PRODUCTS, NEC [3089]
		IRS NUMBER:				363514169
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-09608
		FILM NUMBER:		171225536

	BUSINESS ADDRESS:	
		STREET 1:		221 RIVER STREET
		CITY:			HOBOKEN
		STATE:			NJ
		ZIP:			07030
		BUSINESS PHONE:		770.418.7000

	MAIL ADDRESS:	
		STREET 1:		221 RIVER STREET
		CITY:			HOBOKEN
		STATE:			NJ
		ZIP:			07030

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	NEWELL RUBBERMAID INC
		DATE OF NAME CHANGE:	19990329

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	NEWELL CO
		DATE OF NAME CHANGE:	19920703

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	NEW NEWELL CO
		DATE OF NAME CHANGE:	19870713
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>btr8-kx112117.htm
<DESCRIPTION>8-K
<TEXT>
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<div><a name="s7524097DAABBD6A9A8E0EA846B678032"></a></div><div></div><div><br></div><div style="line-height:120%;"><hr></div><div style="line-height:120%;padding-top:16px;text-align:center;font-size:14pt;"><font style="font-family:inherit;font-size:14pt;font-weight:bold;">UNITED STATES <br>SECURITIES AND EXCHANGE COMMISSION</font></div><div style="line-height:120%;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">Washington, D.C. 20549</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;text-decoration:underline;">______________________</font></div><div style="line-height:120%;text-align:center;font-size:14pt;"><font style="font-family:inherit;font-size:14pt;font-weight:bold;">FORM 8-K</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;text-decoration:underline;">______________________</font></div><div style="line-height:120%;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">Current Report <br>Pursuant to Section 13 or 15(d) <br>of the Securities Exchange Act of 1934</font></div><div style="line-height:120%;padding-top:4px;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">Date of report (Date of earliest event reported): November 21, 2017</font></div><div style="line-height:120%;padding-top:4px;text-align:center;font-size:20pt;"><font style="font-family:inherit;font-size:20pt;font-weight:bold;">NEWELL BRANDS INC.</font></div><div style="line-height:120%;padding-top:4px;text-align:center;font-size:8pt;"><font style="font-family:inherit;font-size:8pt;font-weight:bold;">(Exact name of registrant as specified in its charter)</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;text-decoration:underline;">______________________</font></div><div style="line-height:100%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:9pt;"><div style="padding-left:0px;text-indent:0px;line-height:normal;padding-top:10px;"><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman;font-size:10pt;margin-left:auto;margin-right:auto;width:100%;border-collapse:collapse;text-align:left;"><tr><td colspan="3"></td></tr><tr><td style="width:34%;"></td><td style="width:33%;"></td><td style="width:33%;"></td></tr><tr><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;padding-left:2px;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;font-weight:bold;">Delaware</font></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;padding-left:2px;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;font-weight:bold;">1-9608</font></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;padding-left:2px;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;font-weight:bold;">36-3514169</font></div></td></tr><tr><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;padding-left:2px;font-size:8pt;"><font style="font-family:inherit;font-size:8pt;font-weight:bold;">(State or Other Jurisdiction of Incorporation)</font></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;padding-left:2px;font-size:8pt;"><font style="font-family:inherit;font-size:8pt;font-weight:bold;">(Commission File Number)</font></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;padding-left:2px;font-size:8pt;"><font style="font-family:inherit;font-size:8pt;font-weight:bold;">(IRS Employer Identification Number)</font></div></td></tr></table></div></div><div style="line-height:120%;padding-top:8px;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:9pt;font-weight:bold;">221 River Street <br>Hoboken, New Jersey 07030</font><font style="font-family:inherit;font-size:10pt;">&#32;&#32;<br> </font><font style="font-family:inherit;font-size:8pt;font-weight:bold;">(Address of principal executive offices including zip code)</font></div><div style="line-height:120%;padding-top:16px;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:9pt;font-weight:bold;">(201) 610-6600</font><font style="font-family:inherit;font-size:10pt;">&#32;&#32;<br> </font><font style="font-family:inherit;font-size:8pt;font-weight:bold;">(Registrant&#8217;s telephone number, including area code)</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;text-decoration:underline;">______________________</font></div><div style="line-height:120%;padding-top:16px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</font></div><div style="line-height:120%;padding-top:16px;text-align:left;font-size:10pt;"><font style="font-family:Wingdings;font-size:10pt;">o</font><font style="font-family:inherit;font-size:10pt;">&#32;&#160;&#160;&#160;&#160; Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></div><div style="line-height:120%;padding-top:16px;text-align:left;font-size:10pt;"><font style="font-family:Wingdings;font-size:10pt;">o</font><font style="font-family:inherit;font-size:10pt;">&#32;&#160;&#160;&#160;&#160; Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></div><div style="line-height:120%;padding-top:16px;text-align:left;padding-left:30px;text-indent:-30px;font-size:10pt;"><font style="font-family:Wingdings;font-size:10pt;">o</font><font style="font-family:inherit;font-size:10pt;">&#32;&#160;&#160;&#160;&#160; Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></div><div style="line-height:120%;padding-top:16px;text-align:left;padding-left:30px;text-indent:-30px;font-size:10pt;"><font style="font-family:Wingdings;font-size:10pt;">o</font><font style="font-family:inherit;font-size:10pt;">&#32;&#160;&#160;&#160;&#160; Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></div><div style="line-height:120%;padding-top:16px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</font></div><div style="line-height:120%;padding-top:16px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Emerging growth company </font><font style="font-family:Wingdings;font-size:10pt;">o</font></div><div style="line-height:120%;padding-top:16px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. </font><font style="font-family:Wingdings;font-size:10pt;">o</font></div><div style="line-height:120%;"><hr></div><div><br></div><div><div style="line-height:100%;padding-bottom:13px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">&#160;</font></div></div><hr style="page-break-after:always"><div><a name="s0F731B616EB511D5DBE1EA846B9931D8"></a></div><div><div style="line-height:138%;padding-bottom:13px;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div></div><div><br></div><div style="line-height:138%;padding-bottom:13px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">Item 5.04.  Temporary Suspension of Trading Under Registrant&#8217;s Employee Benefit Plans.</font></div><div style="line-height:120%;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;text-decoration:underline;">Change in Recordkeepers for 401(K) plans</font></div><div style="line-height:120%;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">As part of the harmonization of U.S. retirement savings plans at Newell Brands Inc. (the &#8220;Company&#8221;), the Newell Rubbermaid 401(k) Savings and Retirement Plan (the &#8220;Newell Plan&#8221;) and the Rexair LLC Retirement Savings and Investment Plan (the &#8220;Rexair Plan,&#8221; and, together with the Newell Plan, the &#8220;401(k) Plans&#8221;) will be converting to a new trustee and recordkeeper, effective January 1, 2018.   In connection with the conversion, there will be a limited period of time during which participants in the 401(k) Plans will not be able to access their accounts to direct or diversify their investments or to obtain a withdrawal, distribution or loan from the 401(k) Plans (the &#8220;401(k) Blackout Period(s)&#8221;).  </font></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">On November 21, 2017, the Company received notices required by Section 101(i)(2)(E) of the Employee Retirement Income Security Act of 1974, as amended, regarding the 401(k) Blackout Periods.  The 401(k) Blackout Period for the Rexair Plan will begin at 4:00 p.m. ET on December 21, 2017 and the 401(k) Blackout Period for the Newell Plan will begin at 4:00 p.m. ET on December 22, 2017.  Both 401(k) Blackout Periods are scheduled to end during the week of January 7, 2018.  </font></div><div style="line-height:120%;text-align:left;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;"><br></font></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">On November 28, 2017, in accordance with Section 306 of the Sarbanes&#173;Oxley Act of 2002 and Rule 104 of Regulation BTR of the Securities Exchange Act of 1934, as amended, the Company sent a notice to its directors and executive officers notifying them of the 401(k) Blackout Periods and the restrictions on trading in Company securities that apply to them during the 401(k) Blackout Periods.  </font></div><div style="line-height:120%;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">During the 401(k) Blackout Periods and for a period of two years thereafter, information regarding the 401(k) Blackout Periods, including confirmation of the actual beginning and ending dates, may be obtained, without charge, by contacting Bradford R. Turner, Chief Legal and Administrative Officer at Newell Brands Inc., 221 River St., 13</font><font style="font-family:inherit;font-size:10pt;"><sup style="vertical-align:top;line-height:120%;font-size:7pt">th</sup></font><font style="font-family:inherit;font-size:10pt;">&#32;Floor, Hoboken, NJ 07030 or at (201) 610-6600.</font></div><div style="line-height:120%;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div style="line-height:120%;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div><br></div><div><div style="line-height:100%;padding-bottom:13px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div></div><hr style="page-break-after:always"><div><div style="line-height:138%;padding-bottom:13px;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div></div><div><br></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">&#160;</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div><div style="line-height:138%;padding-bottom:13px;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">SIGNATURE</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;padding-left:312px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">NEWELL BRANDS INC.</font></div><div style="line-height:138%;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Date: November 28, 2017&#160;&#160;&#160;&#160;By:  </font><font style="font-family:inherit;font-size:10pt;text-decoration:underline;">/s/ Bradford R. Turner&#160;&#160;&#160;&#160;</font></div><div style="line-height:138%;text-align:left;padding-left:336px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Bradford R. Turner</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;padding-left:336px;text-indent:-24px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">Its:  Chief Legal and Administrative Officer and Corporate Secretary</font></div><div><br></div><div><div style="line-height:138%;padding-bottom:13px;text-align:left;text-indent:312px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">- 2 -&#160;&#160;&#160;&#160;</font></div><div style="line-height:100%;padding-bottom:13px;text-align:left;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;"><br></font></div></div>	</body>
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