SEC Form 4 · accession 0000950117-16-001054
HONEYWELL INTERNATIONAL INC · HON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Fradin
Officer — Vice Chairman
Period of report
Apr 18, 2016
Accepted (ET)
Apr 19, 2016 · 4:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000773840
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 18, 2016 | M | 275,000 | $40.17 | A | 319,364 | D | |
| Common StockF2 | Apr 18, 2016 | S | 188,420 | $115.12 | D | 130,944 | D | |
| Common Stock | holding | — | — | — | 3,814 | I | held in 401(k) plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $40.17 | Apr 18, 2016 | M | 275,000 | D | Feb 26, 2014 | Feb 25, 2020 | Common Stock | 275,000 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 plan, this represents the exercise of options granted to the Reporting Person. Following the exercise, the Reporting Person remains in compliance with the applicable ownership thresholds under the Stock Ownership Guidelines of the Company and is required under the Guidelines to hold the net gain shares (net of shares sold to cover the exercise price and taxes) for at least one year.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.00 to $115.43, inclusive. The reporting person undertakes to provide to Honeywell International Inc., any security holder of Honeywell International Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.