SEC Form 4 · accession 0001707925-19-000005
LINDE PLC · LIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne K Roby
Officer — Head of Global Functions Group
Period of report
Feb 25, 2019
Accepted (ET)
Feb 27, 2019 · 6:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001707925
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Feb 25, 2019 | M | 3,510 | $0.00 | A | 28,503 | D | |
| Ordinary SharesF2 | Feb 25, 2019 | F | 1,627 | $173.50 | D | 26,876 | D | |
| Ordinary SharesF1 | Feb 25, 2019 | M | 3,588 | $0.00 | A | 30,464 | D | |
| Ordinary SharesF2 | Feb 25, 2019 | F | 1,663 | $173.50 | D | 28,801 | D | |
| Ordinary Shares | holding | — | — | — | 1,503 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Ristricted Stock UnitF1 | — | Feb 25, 2019 | M | 3,510 | D | — | — | Ordinary Shares | 3,510 | 0 | D |
| Ristricted Stock UnitF1 | — | Feb 25, 2019 | M | 3,588 | D | — | — | Ordinary Shares | 3,588 | 0 | D |
| Deferred Stock UnitF8,F9 | — | Feb 25, 2019 | A | 57 | A | — | — | Ordinary Shares | 57 | 57 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | — | Ordinary Shares | 3,885 | 3,885 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Ordinary Shares | 4,328 | 4,328 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Ordinary Shares | 2,960 | 2,960 | D |
| Stock Option (right to buy)F5 | $97.84 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Ordinary Shares | 13,195 | 13,195 | D |
| Stock Option (right to buy)F5 | $109.68 | holding | — | — | — | Feb 28, 2013 | Feb 28, 2022 | Ordinary Shares | 18,430 | 18,430 | D |
| Stock Option (right to buy)F5 | $110.58 | holding | — | — | — | Feb 26, 2014 | Feb 26, 2023 | Ordinary Shares | 15,790 | 15,790 | D |
| Stock Option (right to buy)F5 | $128.80 | holding | — | — | — | Feb 25, 2015 | Feb 25, 2024 | Ordinary Shares | 19,900 | 19,900 | D |
| Stock Option (right to buy)F5 | $128.38 | holding | — | — | — | Feb 24, 2016 | Feb 24, 2025 | Ordinary Shares | 26,490 | 26,490 | D |
| Stock Option (right to buy)F6 | $102.22 | holding | — | — | — | Feb 23, 2017 | Feb 23, 2026 | Ordinary Shares | 49,405 | 49,405 | D |
| Stock Option (right to buy)F7 | $118.71 | holding | — | — | — | Feb 28, 2018 | Feb 28, 2027 | Ordinary Shares | 39,585 | 39,585 | D |
| Stock Option (right to buy)F8 | $154.00 | holding | — | — | — | Feb 27, 2019 | Feb 27, 2028 | Ordinary Shares | 32,335 | 32,335 | D |
Explanation of responses
- F1Ordinary shares acquired pursuant to the payout of a restricted stock unit ("RSU") grant made on February 23, 2016.
- F2Ordinary shares withheld from the RSU payout to cover tax withholdings.
- F3Restricted Stock units that will vest in full and payout on or about February 23, 2021 in Linde plc Ordinary Shares on a one-for-one basis.
- F4Restricted Stock Units that will vest in full and payout on or about February 28, 2020 in Linde plc Ordinary Shares on a one-for-one basis.
- F5This option became exercisable in three (3) equal annual installments beginning on the first anniversary of the date of grant.
- F6This option vests over three years in three consecutive equal annual installments beginning on February 23, 2017.
- F7This option vests over three years in three consecutive equal annual installments beginning on February 28, 2018.
- F8Conversion to Linde plc ordinary shares is on a one-for-one basis.
- F9Deferred stock units acquired under the Praxair Compensation Deferred Plan as amended ("Deferral Plan") and are to be settled in Linde plc Ordinary Shares.