SEC Form 4 · accession 0001140361-15-036375
PENTAIR plc · PNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Stauch
Officer — Executive Vice President, CFO
Period of report
Sep 28, 2015
Accepted (ET)
Sep 30, 2015 · 7:13 pm EDT
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 SharesF2,F3 | Sep 28, 2015 | F | 10,924 | $51.27 | D | 11,738 | D | |
| Common Shares - Restricted Stock UnitsF2 | holding | — | — | — | 62,520 | D | ||
| Common SharesF3 | holding | — | — | — | 72,061 | I | By Spouse Trust | |
| Common Shares - ESPPF4 | holding | — | — | — | 1,716 | I | Plan Agent | |
| Common Shares - Deferral PlanF6,F5 | holding | — | — | — | 47,464 | I | Plan Agent | |
| Common Shares - ESOPF6 | holding | — | — | — | 608 | I | By ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares surrendered to pay taxes applicable to vesting of restricted stock units.
- F2End-of-period holdings reflect the vesting of restricted stock units that were previously reported.
- F3Since the date of the reporting person's last ownership form, 7,848 shares previously reported as directly owned by the reporting person have been transferred and are now indirectly owned by a trust owned by the reporting person's spouse.
- F4End-of-period holdings include monthly purchase(s) under the Pentair plc Employee Stock Purchase and Bonus Plan (ESPP) in exempt transaction(s) pursuant to Rule 16b-3(c); and shares acquired pursuant to a dividend reinvestment feature of the ESPP.
- F5Shares of Pentair, Inc. common stock will be delivered to the reporting person in accordance with their irrevocable deferral election.
- F6End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a).