SEC Form 4 · accession 0001140361-18-000908
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
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 7:01 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 SharesF3,F2 | Jan 2, 2018 | F | 308 | $70.23 | D | 244 | D | |
| Common SharesF3 | Jan 3, 2018 | F | 1,402 | $70.80 | D | 3,012 | D | |
| Common Shares - Restricted Stock UnitsF3 | holding | — | — | — | 21,419 | D | ||
| Common Shares - Deferral PlanF3,F4,F5 | holding | — | — | — | 66,733 | I | Plan Agent | |
| Common SharesF2 | holding | — | — | — | 114,560 | I | By Spouse Trust | |
| Common Shares - ESOPF5 | holding | — | — | — | 780 | I | By ESOP | |
| Common Shares - ESPPF6 | holding | — | — | — | 2,161 | D |
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.
- F2Since the date of the reporting person's last ownership form, 6,991 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.
- F3End-of-period holdings reflect the vesting of restricted stock units that were previously reported.
- F4Shares of Pentair Ltd. common shares will be delivered to the reporting person in accordance with their irrevocable deferral election.
- F5End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a).
- F6End-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.