Statement of Changes in Beneficial Ownership (4)
June 09 2020 - 06:12PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 * TRUNZO ANTHONY L |
2. Issuer Name and Ticker or Trading
Symbol RESIDEO TECHNOLOGIES, INC. [ REZI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
EVP, Chief Financial Officer |
(Last)
(First)
(Middle)
901 E 6TH STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/8/2020
|
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
$9.86 |
6/8/2020 |
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A |
|
111078 |
|
(1) |
6/7/2027 |
Common Stock |
111078 |
$0.00 |
111078 |
D |
|
Restricted Stock Units |
(2) |
6/8/2020 |
|
A |
|
24325 |
|
(2) |
(2) |
Common Stock |
24325 |
$0.00 |
24325 |
D |
|
Restricted Stock Units |
(3) |
6/8/2020 |
|
A |
|
300000 |
|
(3) |
(3) |
Common Stock |
300000 |
$0.00 |
300000 |
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 June 8, 2021, June 8, 2022 and
June 8, 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 June 8, 2021, June 8, 2022 and
June 8, 2023 subject to continued employment. |
(3) |
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 two
equal installments on each of June 8, 2023 and June 8, 2024 subject
to continued employment. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
TRUNZO ANTHONY L
901 E 6TH STREET
AUSTIN, TX 78702 |
|
|
EVP, Chief Financial Officer |
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Signatures
|
/s/ Jeannine J. Lane, as Attorney-in-Fact for
Anthony L. Trunzo |
|
6/9/2020 |
**Signature of Reporting
Person |
Date |