SEC Form 4/A · accession 0001140361-16-047004
PENTAIR plc · PNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronald Merriman
Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2016 · 7:35 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 SharesF2,F3,F4,F1,F5 | Jan 2, 2015 | M | 205 | — | A | 14,909 | D | |
| Common Shares - Deferral PlanF6,F1,F5 | holding | — | — | — | 45 | I | Plan Agent |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units (Deferred Compensation)F3,F6,F1,F7 | — | Jan 2, 2015 | M | 206 | D | — | — | Common Shares | 206 | 360 | I |
Explanation of responses
- F1This amended Form 4 is being filed solely for the purpose of reporting the distribution of shares from the Deferred Compensation Plan. These transfers were omitted from the Form 4 filed January 6, 2015.
- F2Fractional shares were sold upon the settlement of units.
- F3Phantom stock units convert into common shares on a one-for-one basis.
- F4End-of-period holdings reflect the vesting of restricted stock units that were previously reported.
- F51,169 shares were distributed from the Deferral Plan to the reporting person in an exempt transaction not required to be reported pursuant to Section 16(a).
- 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).
- F7Settlement of phantom stock units will be in Pentair plc common shares in accordance with reporting person's irrevocable election.