Initial Statement of Beneficial Ownership (3)
April 09 2020 - 3:52PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Nowicki Juergen |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2020
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3. Issuer Name and Ticker or Trading Symbol
LINDE PLC [LIN]
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(Last)
(First)
(Middle)
C/O LINDE PLC, THE PRIESTLEY CENTRE, 10 PRIESTLEY ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Executive VP, Engineering / |
(Street)
GUILDFORD, SURREY, X0 GU2 7XY
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Ordinary Shares | 1000 | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (1) | (2) | (2) | Ordinary Shares | 125 | $0 (2) | D | |
Restricted Stock Units (1) | (3) | (3) | Ordinary Shares | 155 | $0 (3) | D | |
Restricted Stock Units | (4) | (4) | Ordinary Shares | 435 | $0 (4) | D | |
Restricted Stock Units | (5) | (5) | Ordinary Shares | 365 | $0 (5) | D | |
Restricted Stock Units | (6) | (6) | Ordinary Shares | 1260 | $0 (6) | D | |
Stock Option (right to buy) (1) | 6/1/2020 | 6/1/2021 | Ordinary Shares | 763 | $1.92 | D | |
Stock Option (right to buy) (1) | 6/7/2021 | 6/7/2022 | Ordinary Shares | 645 | $1.92 | D | |
Stock Option (right to buy) | (7) | 3/20/2029 | Ordinary Shares | 4860 | $176.63 | D | |
Stock Option (right to buy) | (8) | 3/9/2030 | Ordinary Shares | 4420 | $173.13 | D | |
Stock Option (right to buy) | (9) | 4/1/2030 | Ordinary Shares | 15280 | $173.13 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units ("RSUs") and stock options have been granted pursuant to the Business Combination Agreement among Praxair, Inc., Linde AG, Linde plc and certain of their affiliates, dated June 1, 2017, as amended (the "BCA"). The RSUs and stock options replace certain previously granted equity awards granted by Linde AG that were terminated in connection with the closing of the Business Combination of Praxair, Inc. and Linde AG that occurred on October 31, 2018. A more detailed explanation of these RSU and stock option replacement awards is discussed in the Linde plc Registration Statement on Form S-4 (Amendment No. 4) filed with the SEC on August 11, 2017 under the section titled "The Business Combination - Interests of Directors, Board Members and Executive Officers in the Business Combination - Linde AG - Treatment of Equity Awards" on pages 183-187. |
(2) | Restricted Stock Units that will vest in full and payout on or about June 1, 2020 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 June 7, 2021in Linde plc Ordinary Shares on a one-for-one basis. |
(4) | Restricted Stock Units that will vest in full and payout on or about March 20, 2022 in Linde plc Ordinary Shaes on a one-for-one basis. |
(5) | Restricted Stock Units that will vest in full and payout on or about March 9, 2023 in Linde plc Ordinary Shaes on a one-for-one basis. |
(6) | Restricted Stock Units that will vest in full and payout on or about April 1, 2023 in Linde plc Ordinary Shaes on a one-for-one basis. |
(7) | This option vests over three years in three consecutive equal annual installments beginning on March 20,2020. |
(8) | This option vests over three years in three consecutive equal annual installments beginning on March 9, 2021. |
(9) | This option vests over three years in three consecutive equal annual installments beginning on April 1, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nowicki Juergen C/O LINDE PLC THE PRIESTLEY CENTRE, 10 PRIESTLEY ROAD GUILDFORD, SURREY, X0 GU2 7XY |
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| Executive VP, Engineering |
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Signatures
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Anthony M. Pepper, Attorney-in-Fact | | 4/9/2020 |
**Signature of Reporting Person | Date |
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