SEC Form 4 · accession 0000899243-18-027858
RESIDEO TECHNOLOGIES, INC. · REZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert B Aarnes
Officer — PRESIDENT, ADI
Period of report
Oct 29, 2018
Accepted (ET)
Oct 31, 2018 · 6:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001740332
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Oct 29, 2018 | A | 28,730 | A | — | — | Common Stock | 28,730 | 28,730 | D |
| Restricted Stock UnitsF2 | — | Oct 29, 2018 | A | 4,841 | A | — | — | Common Stock | 4,841 | 4,841 | D |
| Restricted Stock UnitsF3 | — | Oct 29, 2018 | A | 3,360 | A | — | — | Common Stock | 3,360 | 3,360 | D |
| Restricted Stock UnitsF4 | — | Oct 29, 2018 | A | 3,220 | A | — | — | Common Stock | 3,220 | 3,220 | D |
| Restricted Stock UnitsF5 | — | Oct 29, 2018 | A | 1,601 | A | — | — | Common Stock | 1,601 | 1,601 | D |
| Restricted Stock UnitsF6 | — | Oct 29, 2018 | A | 4,394 | A | — | — | Common Stock | 4,394 | 4,394 | D |
| Restricted Stock UnitsF7 | — | Oct 29, 2018 | A | 4,313 | A | — | — | Common Stock | 4,313 | 4,313 | D |
| Restricted Stock UnitsF8 | — | Oct 29, 2018 | A | 11,106 | A | — | — | Common Stock | 11,106 | 11,106 | D |
| Restricted Stock UnitsF9 | — | Oct 29, 2018 | A | 3,782 | A | — | — | Common Stock | 3,782 | 3,782 | D |
| Restricted Stock UnitsF10 | — | Oct 29, 2018 | A | 4,810 | A | — | — | Common Stock | 4,810 | 4,810 | D |
Explanation of responses
- F1Grant of restricted stock units pursuant to the initial Founder's Grants of Resideo Technologies, Inc., a Delaware corporation ("Resideo"), which will vest as to 50% on October 29, 2021 and 50% on October 29, 2022, subject to continued employment.
- F10Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on March 15, 2020, subject to continued employment.
- F2Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell International Inc. ("Honeywell") into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 27, 2019, February 27, 2020, February 27, 2021 and February 27, 2022, subject to continued employment.
- F3Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 28, 2019, February 28, 2020 and February 28, 2021, subject to continued employment.
- F4Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 25, 2019 and February 25, 2020, subject to continued employment.
- F5Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 26, 2019, subject to continued employment.
- F6Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 27, 2021, subject to continued employment.
- F7Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 28, 2020, subject to continued employment.
- F8Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 33% on September 29, 2019, 33% on September 29, 2021 and 34% on September 29, 2023, subject to continued employment.
- F9Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 25, 2019, subject to continued employment.