Statement of Changes in Beneficial Ownership (4)
January 24 2023 - 10:09AM
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
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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
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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 _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O LINDE PLC, FORGE, 43 CHURCH STREET WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/20/2023 |
(Street)
WOKING SURREY, X0 GU216HT
(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 | | | | | | | | 2268 | I | In trust for children |
Ordinary Shares | | | | | | | | 71029 | I | Angel Descendants Trust |
Ordinary Shares | | | | | | | | 20517 | I | 2012 Descendants Trust |
Ordinary Shares | | | | | | | | 10761.447 | I | 401(k) |
Ordinary Shares | 1/20/2023 | | M | | 24536.675 (1) | A | $0 | 370413.359 | D | |
Ordinary Shares | 1/20/2023 | | F | | 9991.124 (2) | D | $330.00 | 360422.235 | 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 | (3) | | | | | | | (3) | (3) | Ordinary Shares | 1404.477 | | 1404.477 | D | |
Restricted Stock Units | $0 (4) | | | | | | | (4) | (4) | Ordinary Shares | 12670 | | 12670 | D | |
Restricted Stock Units | $0 (5) | | | | | | | (5) | (5) | Ordinary Shares | 13935 | | 13935 | D | |
Restricted Stock Units | $0 (6) | | | | | | | (6) | (6) | Ordinary Shares | 15883.730 | | 15883.730 | D | |
Restricted Stock Units | $0 (7) | | | | | | | (7) | (7) | Ordinary Shares | 35349.881 | | 35349.881 | D | |
Restricted Stock Units | $0 (7) | | | | | | | (7) | (7) | Ordinary Shares | 31497.124 | | 31497.124 | D | |
Restricted Stock Units | $0 (7) | | | | | | | (7) | (7) | Ordinary Shares | 49805.244 | | 49805.244 | D | |
Restricted Stock Units | $0 (7) | | | | | | | (7) | (7) | Ordinary Shares | 32173.278 | | 32173.278 | D | |
Restricted Stock Units | $0 (7) | | | | | | | (7) | (7) | Ordinary Shares | 34066.486 | | 34066.486 | D | |
Stock Option (right to buy) | $253.68 (8) | | | | | | | 3/8/2022 (8) | 3/8/2031 | Ordinary Shares | 133465 | | 133465 | D | |
Stock Option (right to buy) | $173.13 (9) | | | | | | | 3/9/2021 (9) | 3/9/2030 | Ordinary Shares | 169560 | | 169560 | D | |
Stock Option (right to buy) | $102.22 (10) | | | | | | | 2/23/2017 (10) | 2/23/2026 | Ordinary Shares | 216355 | | 216355 | D | |
Stock Option (right to buy) | $118.71 (11) | | | | | | | 2/28/2018 (11) | 2/28/2027 | Ordinary Shares | 435850 | | 435850 | D | |
Stock Option (right to buy) | $154.00 (12) | | | | | | | 2/27/2019 (12) | 2/27/2028 | Ordinary Shares | 318780 | | 318780 | D | |
Stock Option (right to buy) | $176.63 (13) | | | | | | | 3/20/2020 (13) | 3/20/2029 | Ordinary Shares | 177605 | | 177605 | D | |
Deferred Stock Units | $0 (14) | 1/20/2023 | 1/20/2023 | M | | | 24536.675 (1) | 1/20/2023 (15) | 1/20/2023 (15) | Ordinary Shares | 119581.204 | $0 | 119581.204 | D | |
Explanation of Responses: |
(1) | Payout of Deferred Stock Units in ordinary shares pursuant to the Linde Compensation Deferral Plan. |
(2) | Ordinary shares withheld to pay taxes on the Deferred Stock Unit payout. |
(3) | The Restricted Stock Unit ("RSU") shall vest in full and payout in Ordinary Shares on a one-for-one basis one year after the March 1, 2022 date of grant, provided that the awardee serves on the Linde plc Board of Directors continuously through the vesting date, except under certain circumstances in which a pro-rata payout may be made. |
(4) | Restricted Stock Units that will vest in full and payout on or about March 8, 2024 in Linde plc Ordinary Shares on a one-for-one basis. |
(5) | Restricted Stock Units that will vest in full and payout on or about March 9, 2023 in Linde plc Ordinary Shares on a one-for-one basis. |
(6) | 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. |
(7) | Restricted Stock Units that have vested in full but whose payout has been deferred to a future date. |
(8) | This option vests over three years in three consecutive equal annual installments beginning on March 8, 2022. |
(9) | This option vests over three years in three consecutive equal annual installments beginning on March 9, 2021. |
(10) | This option vests over three years in three consecutive equal annual installments beginning February 23, 2017. |
(11) | This option vests over three years in three consecutive equal annual installments beginning on February 28, 2018. |
(12) | This option vests over three years in three consecutive equal annual installments beginning on February 27, 2019. |
(13) | This option vests over three years in three consecutive equal annual installments beginning on March 20, 2020. |
(14) | Conversion to Linde plc Ordinary Shares is on a 1-for-1 basis. |
(15) | Deferred Stock Units acquired under the Linde Compensation Deferral Plan that will payout in Linde plc Ordinary Shares on a one-for-one basis in accordance with the Deferral Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ANGEL STEPHEN F C/O LINDE PLC FORGE, 43 CHURCH STREET WEST WOKING SURREY, X0 GU216HT | X |
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Signatures
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Anthony M. Pepper, Attorney-in-Fact | | 1/24/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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