Statement of Changes in Beneficial Ownership (4)
February 22 2021 - 5:28PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kelly Stephen Montgomery |
2. Issuer Name and Ticker or Trading Symbol
RESIDEO TECHNOLOGIES, INC.
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REZI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Chief HR Officer |
(Last)
(First)
(Middle)
901 E 6TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2021 |
(Street)
AUSTIN, TX 78702
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/20/2021 | | M | | 5109 | A | $0.00 | 59991 | D | |
Common Stock | 2/20/2021 | | F | | 1997 | D | $27.56 | 57994 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 2/18/2021 | | A | | 15549 | | (1) | (1) | Common Stock | 15549 | $0.00 | 15549 | D | |
Restricted Stock Units | (2) | 2/20/2021 | | M | | 5109 | | 2/20/2021 | 2/20/2021 | Common Stock | 5109 | $0.00 | 10217 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units were granted under the Amended and Restated 2018 Stock Incentive Plan of Resideo Technologies, Inc. and its Affiliates, and will vest in three equal installments on each of February 18, 2022, February 18, 2023 and February 18, 2024 subject to continued employment. |
(2) | Instrument converts to common stock on a one-for-one basis. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kelly Stephen Montgomery 901 E 6TH STREET AUSTIN, TX 78702 |
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| EVP, Chief HR Officer |
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Signatures
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/s/ Jeannine J. Lane, as Attorney-in-Fact for Stephen M. Kelly | | 2/22/2021 |
**Signature of Reporting Person | Date |
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