Statement of Changes in Beneficial Ownership (4)
February 16 2021 - 5:34PM
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
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Geddes AnnMarie |
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)
VP, Controller and CAO |
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(Last)
(First)
(Middle)
901 E 6TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2021 |
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(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 | 2/11/2021 | | M | | 957 | A | $0.00 | 1582 (1) | D | |
| Common Stock | 2/11/2021 | | F | | 332 | D | $25.79 | 1250 | 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 | (2) | 2/11/2021 | | M | | | 957 | 2/11/2021 | 2/11/2021 | Common Stock | 957 | $0.00 | 957 | D | |
| Restricted Stock Units (3) | (2) | 12/4/2018 | | A | | 11000 | | (4) | (4) | Common Stock | 11000 | $0.00 | 11000 | D | |
| Explanation of Responses: |
| (1) | Table I balance reduced from prior Form 4s to reflect that 13,870 RSUs were previously reported on Table I; however, to align with the Issuer's reporting, the RSUs have now been reported on Table II. The RSUs included an RSU for 11,000 shares granted on December 4, 2018 that vests as to 50% of the shares on December 4, 2021 and 2022 and an RSU for 2,870 shares granted on February 11, 2019 that previously vested as to 956 shares on February 11, 2020 (reported on a prior Form 4), vested as to 957 shares on February 11, 2021 (reported on this Form 4) and will vest as to 957 shares on February 11, 2022. |
| (2) | Instrument converts to common stock on a one-for-one basis. |
| (3) | This RSU was previously reported on Table I on the reporting person's original Form 3 and has been reported here solely to conform to the Issuer's reporting of RSUs on Table II as described above in footnote 1. |
| (4) | Restricted stock unit granted on December 4, 2018 was previously reported on Table I and reported here solely to conform to the Issuer's reporting of RSUs on Table II. RSUs vest as to 50% on December 4, 2021 and 2022, subject to continued employment. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Geddes AnnMarie
901 E 6TH STREET
AUSTIN, TX 78702 |
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| VP, Controller and CAO |
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Signatures
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| /s/ Jeannine J. Lane, as Attorney-in-Fact for AnnMarie Geddes | | 2/16/2021 |
| **Signature of Reporting Person | Date |
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