Statement of Changes in Beneficial Ownership (4)
February 24 2020 - 4:23PM
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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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
*
SANKPAL SACHIN |
2. Issuer Name and Ticker or Trading Symbol
RESIDEO TECHNOLOGIES, INC.
[
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) Pres., Products & Solutions |
(Last)
(First)
(Middle)
901 E 6TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/20/2020 |
(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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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 |
Stock Option (right to buy) | $10.27 | 2/20/2020 | | A | | 184989 | | (1) | 2/19/2027 | Common Stock | 184989 | $0.00 | 184989 | D | |
Restricted Stock Units | (2) | 2/20/2020 | | A | | 34653 | | (2) | (2) | Common Stock | 34653 | $0.00 | 34653 | D | |
Explanation of Responses: |
(1) | Grant of non-qualified stock options 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 20, 2021, February 20, 2022 and February 20, 2023 subject to continued employment. |
(2) | 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 20, 2021, February 20, 2022 and February 20, 2023 subject to continued employment. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SANKPAL SACHIN 901 E 6TH STREET AUSTIN, TX 78702 |
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| Pres., Products & Solutions |
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Signatures
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/s/ Jeannine J. Lane, as Attorney-in-Fact for Sachin J. Sankpal | | 2/24/2020 |
**Signature of Reporting Person | Date |
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