Masco corporation



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PART III







Item 10.

Directors, Executive Officers and Corporate Governance.

Our Code of Business Ethics applies to all employees, officers and directors including our Principal Executive Officer, Principal Financial Officer and Principal Accounting Officer, and is posted on our website at www.masco.com. Amendments to or waivers of our Code of Business Ethics for directors and executive officers, if any, will be posted on our website. Other information required by this Item will be contained in our definitive Proxy Statement for the 2017 Annual Meeting of Stockholders, to be filed on or before May 1, 2017 , and such information is incorporated herein by reference.








Item 11.

Executive Compensation.

Information required by this Item will be contained in our definitive Proxy Statement for the 2017 Annual Meeting of Stockholders, to be filed on or before May 1, 2017 and such information is incorporated herein by reference.








Item 12.

  Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.

Equity Compensation Plan Information

We grant equity under our 2014 Long Term Stock Incentive Plan (the "2014 Plan"). The following table sets forth information as of December 31, 2016 concerning the 2014 Plan, which was approved by our stockholders. We do not have any equity compensation plans that have not been approved by our stockholders.






































Plan Category

Number of

Securities to

be

Issued Upon

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 the

First Column)

Equity compensation plans approved by stockholders

7,024,915




 

$

14.85




 

16,333,266




The remaining information required by this Item will be contained in our definitive Proxy Statement for our 2017 Annual Meeting of Stockholders, to be filed on or before May 1, 2017 , and such information is incorporated herein by reference.








Item 13.

 Certain Relationships and Related Transactions, and Director Independence.

Information required by this Item will be contained in our definitive Proxy Statement for the 2017 Annual Meeting of Stockholders, to be filed on or before May 1, 2017 , and such information is incorporated herein by reference.








Item 14.

 Principal Accountant Fees and Services.

Information required by this Item will be contained in our definitive Proxy Statement for the 2017 Annual Meeting of Stockholders, to be filed on or before May 1, 2017 , and such information is incorporated herein by reference.
76

PART IV







Item 15.

 Exhibits and Financial Statement Schedules.

a.    Listing of Documents.








(1)

Financial Statements.     Our consolidated financial statements included in Item 8 hereof, as required at December 31, 2016 and 2015 , and for the years ended December 31, 2016 , 2015 and 2014 , consist of the following:













Consolidated Balance Sheets

37

Consolidated Statements of Operations

38

Consolidated Statements of Comprehensive Income (Loss)

39

Consolidated Statements of Cash Flows

40

Consolidated Statements of Shareholders' Equity

41

Notes to Consolidated Financial Statements

42










(2)

Financial Statement Schedule.

a. Our Financial Statement Schedule appended hereto, as required for the years ended December 31, 2016 , 2015 and 2014 , consists of the following:

II.  Valuation and Qualifying Accounts










(3)

Exhibits.

See separate Exhibit Index beginning on page 81.








Item 16.

 Form 10-K Summary

The optional summary in Item 16 has not been included in this Form 10-K.


77

SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.















 

MASCO CORPORATION

 

By:

/s/ John G. Sznewajs

 

 

John G. Sznewajs

Vice President and Chief Financial Officer

February 9, 2017
78


Pursuant to the requirements of the Securities Exchange Act of 1934, this Report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the date indicated.






















Principal Executive Officer:

 

 

 

 

/s/ Keith Allman

 

President, Chief Executive

Officer and Director

 

 

Keith Allman

 




 

 

Principal Financial Officer:

 

 

 

 

/s/ John G. Sznewajs

 

Vice President and Chief

Financial Officer

 

 

John G. Sznewajs

 




 

 

Principal Accounting Officer:

 

 

 

 

/s/ John P. Lindow

 

Vice President, Controller

and Chief Accounting Officer


 

 

John P. Lindow

 




 

 

/s/ J. Michael Losh

 

Chairman of the Board

 

 

J. Michael Losh

 




 

 

/s/ Mark R. Alexander

 

Director

 

 

Mark R. Alexander

 




 

February 9, 2017

/s/ Richard A. Manoogian

 

Chairman Emeritus

 

 

Richard A. Manoogian

 




 

 

/s/ Christopher A. O'Herlihy

 

Director

 

 

Christopher A. O'Herlihy

 




 

 

/s/ Donald R. Parfet

 

Director

 

 

Donald R. Parfet

 




 

 

/s/ Lisa A. Payne

 

Director

 

 

Lisa A. Payne

 




 

 

/s/ John C. Plant

 

Director

 

 

John C. Plant

 




 

 

/s/ Reginald M. Turner, Jr.

 

Director

 

 

Reginald M. Turner, Jr.

 




 

 

/s/ Mary Ann Van Lokeren

 

Director

 

 

Mary Ann Van Lokeren

 




 

 

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