Statement of Changes in Beneficial Ownership (4)
June 13 2019 - 4:12PM
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).
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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
hours per response...
0.5
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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
*
Braun Jeffrey N
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2. Issuer Name
and
Ticker or Trading Symbol
Allegion plc
[
ALLE
]
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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)
SVP, GC, Secretary & CCO
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(Last)
(First)
(Middle)
C/O SCHLAGE LOCK COMPANY LLC, 11819 N. PENNSYLVANIA STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/12/2019
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(Street)
CARMEL, IN 46032
(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
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6/12/2019
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M
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2102
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A
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$57.85
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13394
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D
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Ordinary Shares
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6/12/2019
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M
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4116
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A
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$71.835
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17510
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D
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Ordinary Shares
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6/12/2019
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S
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6218
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D
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$104.439
(1)
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11292
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$57.85
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6/12/2019
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M
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2102
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(2)
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2/16/2026
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Ordinary Shares
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2102
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$0
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0
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D
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Stock Option (Right to Buy)
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$71.835
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6/12/2019
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M
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4116
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(3)
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2/13/2027
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Ordinary Shares
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4116
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$0
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2059
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D
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Explanation of Responses:
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(1)
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This transaction was executed in multiple sales ranging from $104.43 to $104.52 per share, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provided upon request to the SEC staff, the issuer, or any security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected regarding this footnote.
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(2)
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A stock option that vested in equal annual installments on February 16, 2017, February 16, 2018 and February 16, 2019, and is exercisable.
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(3)
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A stock option that vests in equal annual installments on February 13, 2018, February 13, 2019 and February 13, 2020. To the extent the stock option has vested, it is exercisable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Braun Jeffrey N
C/O SCHLAGE LOCK COMPANY LLC
11819 N. PENNSYLVANIA STREET
CARMEL, IN 46032
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SVP, GC, Secretary & CCO
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Signatures
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/s/ Hatsuki Miyata, Attorney-In-Fact
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6/13/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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