Statement of Changes in Beneficial Ownership (4)
March 10 2020 - 4:42PM
Edgar (US Regulatory)
FORM 4
[ ]
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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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
*
White Matthew J |
2. Issuer Name and Ticker or Trading Symbol
LINDE PLC
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LIN
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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)
Chief Financial Officer |
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(Last)
(First)
(Middle)
C/O LINDE PLC, THE PRIESTLEY CENTRE, 10 PRIESTLEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/6/2020 |
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(Street)
GUILDFORD, SURREY, X0 GU2 7XY
(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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| Ordinary Shares | | | | | | | | 30376 | D |
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| Ordinary Shares | | | | | | | | 3029.98 | I | 401(k) |
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 | $0 (1) | 3/9/2020 | | A | | 3590 | | (1) | (1) | Ordinary Shares | 3590 | $0 | 3590 | D |
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| Restricted Stock Units | $0 (2) | | | | | | | (2) | (2) | Ordinary Shares | 4170 | | 4170 | D |
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| Restricted Stock Units | $0 (3) | | | | | | | (3) | (3) | Ordinary Shares | 7765 | | 7765 | D |
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| Stock Option (right to buy) | $173.13 | 3/9/2020 | | A | | 43695 | | 3/9/2021 (4) | 3/9/2030 | Ordinary Shares | 43695 | $0 | 43695 | D |
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| Stock Option (right to buy) | $176.63 | | | | | | | 3/20/2020 (5) | 3/20/2029 | Ordinary Shares | 47020 | | 47020 | D |
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| Stock Option (right to buy) | $128.38 | | | | | | | 2/24/2016 (6) | 2/24/2025 | Ordinary Shares | 40865 | | 40865 | D |
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| Stock Option (right to buy) | $102.22 | | | | | | | 2/23/2017 (7) | 2/23/2026 | Ordinary Shares | 85205 | | 85205 | D |
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| Stock Option (right to buy) | $118.71 | | | | | | | 2/28/2018 (8) | 2/28/2027 | Ordinary Shares | 72795 | | 72795 | D |
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| Stock Option (right to buy) | $154.00 | | | | | | | 2/27/2019 (9) | 2/27/2028 | Ordinary Shares | 64665 | | 64665 | D |
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| Deferred Stock Units | (10) | 3/6/2020 | | A | | 111.242 | | (11) | (11) | Ordinary Shares | 111.242 | $0 | 986.571 | D |
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| Explanation of Responses: |
| (1) | Restricted Stock Units that will vest in full and payout on or about March 9, 2023 in Linde plc Ordinary Shares on a one-for-one basis. |
| (2) | Restricted Stock Units that will vest in full and payout on or about March 20, 2022 in Linde plc Ordinary Shares on a one-for-one basis. |
| (3) | Restricted Stock Units that will vest in full and payout on or about February 27, 2021 in Linde plc Ordinary Shares on a one-for-one basis. |
| (4) | This option vests over three years in three consecutive equal annual installments beginning on March 9, 2021. |
| (5) | This option vests over three years in three consecutive equal annual installments beginning on March 20, 2020. |
| (6) | This option became exercisable in three (3) equal annual installments beginning on the first anniversary of the date of grant. |
| (7) | This option vests over three years in three consecutive equal annual installments beginning on February 23, 2017. |
| (8) | This option vests over three years in three consecutive equal annual installments beginning on February 28, 2018. |
| (9) | This option vests over three years in three consecutive equal annual installments beginning on February 27, 2019. |
| (10) | Conversion to Linde plc Ordinary Shares is on a 1-for-1 basis. |
| (11) | Deferred stock units acquired under Compensation Deferral Plan ("Deferral Plan"). The deferred stock units will payout in Linde plc Ordinary Share on a one-for-one basis in accordance with the Plan. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
White Matthew J
C/O LINDE PLC
THE PRIESTLEY CENTRE, 10 PRIESTLEY ROAD
GUILDFORD, SURREY, X0 GU2 7XY |
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| Chief Financial Officer |
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Signatures
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| Anthony M. Pepper, Attorney-in-Fact | | 3/10/2020 |
| **Signature of Reporting Person | Date |
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