Statement of Changes in Beneficial Ownership (4)
September 03 2019 - 10:38AM
Edgar (US Regulatory)
FORM 4
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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
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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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ANGEL STEPHEN F |
2. Issuer Name and Ticker or Trading Symbol
LINDE PLC
[
LIN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer
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(Last)
(First)
(Middle)
C/O LINDE PLC, THE PRIESTLEY CENTRE, 10 PRIESTLEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/30/2019
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(Street)
GUILDFORD, SURREY, X0 GU2 7XY
(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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2268
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I
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In trust for children
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Ordinary Shares
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71029
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I
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Angel Descendants Trust
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Ordinary Shares
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20517
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I
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2012 Descendants Trust
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Ordinary Shares
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10511.041
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I
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401(k)
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Ordinary Shares
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194952
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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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Restricted Stock Units
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$0 (1)
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(1)
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(1)
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Ordinary Shares
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15755
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15755
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D
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Restricted Stock Units
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$0 (2)
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(2)
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(2)
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Ordinary Shares
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38270
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38270
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D
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Restricted Stock Units
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$0 (3)
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(3)
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(3)
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Ordinary Shares
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29580
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29580
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D
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Restricted Stock Units
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$0 (4)
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(4)
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(4)
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Ordinary Shares
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47632
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47632
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D
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Restricted Stock Units
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$0 (3)
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(3)
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(3)
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Ordinary Shares
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30215
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30215
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D
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Restricted Stock Units
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$0 (4)
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(4)
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(4)
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Ordinary Shares
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32580
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32580
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D
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Stock Option (right to buy)
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$110.58
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(5)
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2/26/2023
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Ordinary Shares
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187015
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187015
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D
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Stock Option (right to buy)
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$128.80
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(5)
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2/25/2024
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Ordinary Shares
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203930
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203930
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D
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Stock Option (right to buy)
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$128.38
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(5)
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2/24/2025
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Ordinary Shares
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261075
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261075
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D
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Stock Option (right to buy)
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$102.22
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(6)
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2/23/2026
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Ordinary Shares
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416355
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416355
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D
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Stock Option (right to buy)
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$118.71
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(7)
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2/28/2027
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Ordinary Shares
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435850
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435850
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D
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Stock Option (right to buy)
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$154.00
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(8)
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2/27/2028
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Ordinary Shares
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318780
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318780
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D
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Stock Option (right to buy)
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$176.63
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(9)
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3/20/2029
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Ordinary Shares
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177605
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177605
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D
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Deferred Stock Units
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$0 (10)
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8/30/2019
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A
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299.878
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(11)
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(11)
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Ordinary Shares
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299.878
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$0
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104560.43
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D
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Explanation of Responses:
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(1)
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Restricted Stock Units that will vest in full and payout on March 20, 2022 in Linde plc Ordinary Shares on a one-for-one basis.
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(2)
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Restricted Stock Units that will vest in full and payout on February 27, 2021 in Linde plc Ordinary Shares on a one-for-one basis.
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(3)
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Restricted Stock Units that have vested in full but whose payout has been deferred to a future date.
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(4)
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Restricted Stock Units that will vest in full and payout on February 28, 2020 in Linde plc Ordinary Shares on a one-for-one basis.
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(5)
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This option became exercisable in three (3) equal annual installments beginning on the first anniversary of the date of grant.
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(6)
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This option vests over three years in three consecutive equal annual installments beginning February 23, 2017.
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(7)
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This option vests over three years in three consecutive equal annual installments beginning on February 28, 2018.
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(8)
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This option vests over three years in three consecutive equal annual installments beginning on February 27, 2019.
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(9)
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This option vests over three years in three consecutive equal annual installments beginning on March 20, 2020.
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(10)
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Conversion to Linde plc Ordinary Shares is on a 1-for-1 basis.
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(11)
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Deferred Stock Units acquired under the Compensation Deferral Plan ("Deferral Plan") pursuant to a prior election to defer compensation. The deferred stock units will payout in Linde plc Ordinary Shares on a one-for-one basis in accordance with the Deferral Plan.
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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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ANGEL STEPHEN F C/O LINDE PLC THE PRIESTLEY CENTRE, 10 PRIESTLEY ROAD GUILDFORD, SURREY, X0 GU2 7XY
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X
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Chief Executive Officer
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Signatures
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Anthony M. Pepper, Attorney-in-Fact
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9/3/2019
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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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