SEC Form 4 · accession 0001140361-16-081262
PENTAIR plc · PNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall J Hogan
Officer — Chairman & Chief Exec. Officer · Director
Period of report
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 5:24 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 SharesF1 | Aug 30, 2016 | G | 13,938 | $0.00 | D | 0 | I | By GRAT |
| Common SharesF4,F2 | Sep 28, 2016 | F | 31,381 | $63.28 | D | 40,757 | D | |
| Common SharesF1,F2 | holding | — | — | — | 366,168 | I | By Trust | |
| Common Shares - Restricted Stock UnitsF4 | holding | — | — | — | 140,650 | D | ||
| Common Shares - Deferral PlanF6,F5 | holding | — | — | — | 58,890 | I | Plan Agent | |
| Common Shares - ESOPF6 | holding | — | — | — | 2,098 | I | By ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Since the date of the reporting person's last ownership form, 2,770 shares previously reported as indirectly beneficially owned by GRAT have been transferred and are now indirectly beneficially owned by Trust.
- F2Since the date of the reporting person's last ownership form, 2,622 shares previously reported as directly held common shares have been transferred and are now indirectly beneficially owned by Trust.
- F3Shares surrendered to pay taxes applicable to vesting of restricted stock units.
- F4End-of-period holdings reflect the vesting of restricted stock units that were previously reported.
- 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 transaction not required to be reported pursuant to Section 16(a).