PART III
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Item 10.
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Directors, Executive Officers and Corporate Governance.
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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.
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Item 11.
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Executive Compensation.
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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.
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Item 12.
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Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.
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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.
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Plan Category
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Number of
Securities to
be
Issued Upon
Exercise of
Outstanding
Options,
Warrants
and Rights
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Weighted-Average
Exercise Price
of
Outstanding
Options,
Warrants and
Rights
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Number of
Securities
Remaining Available
for Future
Issuance Under
Equity
Compensation Plans
(Excluding Securities
Reflected in the
First Column)
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Equity compensation plans approved by stockholders
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7,024,915
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$
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14.85
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16,333,266
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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.
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Item 13.
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Certain Relationships and Related Transactions, and Director Independence.
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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.
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Item 14.
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Principal Accountant Fees and Services.
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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
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Item 15.
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Exhibits and Financial Statement Schedules.
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a. Listing of Documents.
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(1)
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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:
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Consolidated Balance Sheets
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37
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Consolidated Statements of Operations
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38
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Consolidated Statements of Comprehensive Income (Loss)
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39
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Consolidated Statements of Cash Flows
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40
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Consolidated Statements of Shareholders' Equity
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41
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Notes to Consolidated Financial Statements
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42
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(2)
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Financial Statement Schedule.
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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
See separate Exhibit Index beginning on page 81.
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Item 16.
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Form 10-K Summary
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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.
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.
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Principal Executive Officer:
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/s/ Keith Allman
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President, Chief Executive
Officer and Director
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Keith Allman
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Principal Financial Officer:
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/s/ John G. Sznewajs
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Vice President and Chief
Financial Officer
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John G. Sznewajs
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Principal Accounting Officer:
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/s/ John P. Lindow
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Vice President, Controller
and Chief Accounting Officer
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John P. Lindow
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/s/ J. Michael Losh
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Chairman of the Board
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J. Michael Losh
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/s/ Mark R. Alexander
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Director
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Mark R. Alexander
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February 9, 2017
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/s/ Richard A. Manoogian
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Chairman Emeritus
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Richard A. Manoogian
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/s/ Christopher A. O'Herlihy
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Director
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Christopher A. O'Herlihy
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/s/ Donald R. Parfet
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Director
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Donald R. Parfet
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/s/ Lisa A. Payne
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Director
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Lisa A. Payne
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/s/ John C. Plant
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Director
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John C. Plant
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/s/ Reginald M. Turner, Jr.
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Director
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Reginald M. Turner, Jr.
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/s/ Mary Ann Van Lokeren
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Director
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Mary Ann Van Lokeren
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