SEC Form 4 · accession 0000899243-19-003517
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
Feb 11, 2019
Accepted (ET)
Feb 13, 2019 · 7:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001740332
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 12, 2019 | P | 20 | $24.88 | A | 278 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $24.39 | Feb 11, 2019 | A | 68,829 | A | — | Feb 10, 2026 | Common Stock | 68,829 | 68,829 | D |
| Restricted Stock UnitsF4 | — | Feb 11, 2019 | A | 19,133 | A | — | — | Common Stock | 19,133 | 19,133 | D |
Explanation of responses
- F1The purchase reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2018.
- F2The price reported in this column is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.087 to $24.088, inclusive. The Reporting Person undertakes to provide to Resideo Technologies, Inc. ("Resideo"), any security holder of Resideo, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3Grant of non-qualified stock options under the 2018 Stock Incentive Plan of Resideo Technologies, Inc. and its Affiliates, and will vest in three equal installments on each of February 11, 2020, February 11, 2021 and February 11, 2022 subject to continued employment.
- F4Restricted Stock Units were granted under the 2018 Stock Incentive Plan of Resideo Technologies, Inc. and its Affiliates, and will vest in three equal installments on each of February 11, 2020, February 11, 2021 and February 11, 2022 subject to continued employment.