SEC Form 4 · accession 0001567619-19-000585
PENTAIR plc · PNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A /wi Jones
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 5:01 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 Shares - Restricted Stock Units | Jan 2, 2019 | A | 3,707 | $0.00 | A | 6,569 | D |
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)F4,F2,F3 | — | holding | — | — | — | — | — | Common Shares | 29,873 | 29,873 | I |
Explanation of responses
- F1Restricted stock units granted pursuant to and subject to a vesting condition of the Pentair plc 2012 Stock and Incentive Plan. Each restricted stock unit represents a right to receive one share of Pentair plc common shares upon vesting.
- F2Phantom stock units convert into common shares on a one-for-one basis.
- F3Settlement of phantom stock units will be in Pentair plc common shares in accordance with reporting person's irrevocable election.
- F4End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a).