SEC Form 4 · accession 0001140361-15-005386
PENTAIR plc · PNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A /wi Jones
Director
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 2:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000077360
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Feb 9, 2015 | M | 10,000 | $38.88 | A | 19,375 | D | |
| Common SharesF1 | Feb 9, 2015 | S | 10,000 | $65.2845 | D | 9,375 | D | |
| Common Shares | Feb 9, 2015 | M | 10,000 | $40.42 | A | 19,375 | D | |
| Common SharesF3 | Feb 9, 2015 | S | 9,100 | $65.1057 | D | 10,275 | D | |
| Common SharesF4 | Feb 9, 2015 | S | 900 | $65.3361 | D | 9,375 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Option (right to buy)F5 | $38.88 | Feb 9, 2015 | M | 10,000 | D | — | Feb 21, 2016 | Common Shares | 10,000 | 0 | D |
| Nonqualified Stock Option (right to buy)F5 | $40.42 | Feb 9, 2015 | M | 10,000 | D | — | Feb 23, 2015 | Common Shares | 10,000 | 0 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $65.27 to $65.295. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- F2The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 24, 2014.
- F3The price in Column 4 is a weighted average price. The prices actually received ranged from $64.31 to $65.2999. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- F4The price in Column 4 is a weighted average price. The prices actually received ranged from $65.31 to $65.37. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- F5These options are vested and exercisable.