Form 4 Flink Michael David

Statement of changes in beneficial ownership of securities

Published: 2018-10-31 18:55:34
Submitted: 2018-10-31
Period Ending In: 2018-10-29
doc4.html FORM 4 SUBMISSION


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SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Flink Michael David

(Last) (First) (Middle)
1985 DOUGLAS DRIVE NORTH

(Street)
GOLDEN VALLEY MN 55422

(City) (State) (Zip)
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)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
10/29/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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 (1) 10/29/2018 A 33,690 (1) (1) Common Stock 33,690 $0.00 33,690 D
Restricted Stock Units (2) 10/29/2018 A 6,794 (2) (2) Common Stock 6,794 $0.00 6,794 D
Restricted Stock Units (3) 10/29/2018 A 6,109 (3) (3) Common Stock 6,109 $0.00 6,109 D
Restricted Stock Units (4) 10/29/2018 A 6,444 (4) (4) Common Stock 6,444 $0.00 6,444 D
Restricted Stock Units (5) 10/29/2018 A 2,403 (5) (5) Common Stock 2,403 $0.00 2,403 D
Restricted Stock Units (6) 10/29/2018 A 6,157 (6) (6) Common Stock 6,157 $0.00 6,157 D
Restricted Stock Units (7) 10/29/2018 A 20,641 (7) (7) Common Stock 20,641 $0.00 20,641 D
Restricted Stock Units (8) 10/29/2018 A 7,811 (8) (8) Common Stock 7,811 $0.00 7,811 D
Restricted Stock Units (9) 10/29/2018 A 27,902 (9) (9) Common Stock 27,902 $0.00 27,902 D
Restricted Stock Units (10) 10/29/2018 A 7,563 (10) (10) Common Stock 7,563 $0.00 7,563 D
Restricted Stock Units (11) 10/29/2018 A 15,596 (11) (11) Common Stock 15,596 $0.00 15,596 D
Restricted Stock Units (12) 10/29/2018 A 8,607 (12) (12) Common Stock 8,607 $0.00 8,607 D
Explanation of Responses:
1. Grant of restricted stock units pursuant to the initial Founder's Grants of Resideo Technologies, Inc., a Delaware corporation ("Resideo"), which will vest as to 50% on October 29, 2021 and 50% on October 29, 2022, subject to continued employment.
2. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell International Inc. ("Honeywell") into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 27, 2019, February 27, 2020, February 27, 2021 and February 27, 2022, subject to continued employment.
3. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 28, 2019, February 28, 2020 and February 28, 2021, subject to continued employment.
4. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 25, 2019 and February 25, 2020, subject to continued employment.
5. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 26, 2019, subject to continued employment.
6. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 27, 2021, subject to continued employment.
7. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 33% on July 27, 2019, 33% on July 27, 2021 and 34% on July 27, 2023, subject to continued employment.
8. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 28, 2020, subject to continued employment.
9. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 33% on June 1, 2019, 33% on June 1, 2021 and 34% on June 1, 2023, subject to continued employment.
10. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 25, 2019, subject to continued employment.
11. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 49% on July 25, 2019 and 51% on July 25, 2021.
12. Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on March 15, 2020, subject to continued employment.
Remarks:
EVP AND CHIEF SALES AND MARKETING OFFICER
/s/ Jacqueline W. Katzel, as Attorney-in-Fact for Michael D. Flink 10/31/2018
** 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 Number.
1
doc4.xml FORM 4 SUBMISSION
Schema Version:
X0306
Document Type:
4
Period Of Report:
2018-10-29
Not Subject To Section16:
0

Issuer

Issuer Cik
0001740332
Issuer Name
RESIDEO TECHNOLOGIES, INC.
Issuer Trading Symbol
REZI

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001754714
Rpt Owner Name
Flink Michael David

Reporting Owner Address

Rpt Owner Street1
1985 DOUGLAS DRIVE NORTH
Rpt Owner City
GOLDEN VALLEY
Rpt Owner State
MN
Rpt Owner Zip Code
55422

Reporting Owner Relationship

Is Director
0
Is Officer
1
Is Ten Percent Owner
0
Is Other
0
Officer Title
See Remarks

Derivative Transaction

Security Title
Restricted Stock Units
@attributes Id
F1
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
33690
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F1
@attributes Id
F1

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
33690
Shares Owned Following Transaction
33690
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F2
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
6794
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F2
@attributes Id
F2

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
6794
Shares Owned Following Transaction
6794
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F3
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
6109
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F3
@attributes Id
F3

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
6109
Shares Owned Following Transaction
6109
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F4
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
6444
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F4
@attributes Id
F4

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
6444
Shares Owned Following Transaction
6444
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F5
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
2403
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F5
@attributes Id
F5

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
2403
Shares Owned Following Transaction
2403
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F6
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
6157
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F6
@attributes Id
F6

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
6157
Shares Owned Following Transaction
6157
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F7
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
20641
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F7
@attributes Id
F7

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
20641
Shares Owned Following Transaction
20641
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F8
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
7811
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F8
@attributes Id
F8

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
7811
Shares Owned Following Transaction
7811
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F9
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
27902
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F9
@attributes Id
F9

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
27902
Shares Owned Following Transaction
27902
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F10
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
7563
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F10
@attributes Id
F10

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
7563
Shares Owned Following Transaction
7563
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F11
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
15596
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F11
@attributes Id
F11

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
15596
Shares Owned Following Transaction
15596
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F12
Transaction Date
2018-10-29

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
8607
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F12
@attributes Id
F12

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
8607
Shares Owned Following Transaction
8607
Direct Or Indirect Ownership
D

Footnote

0
Grant of restricted stock units pursuant to the initial Founder's Grants of Resideo Technologies, Inc., a Delaware corporation ("Resideo"), which will vest as to 50% on October 29, 2021 and 50% on October 29, 2022, subject to continued employment.
1
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell International Inc. ("Honeywell") into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 27, 2019, February 27, 2020, February 27, 2021 and February 27, 2022, subject to continued employment.
2
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 28, 2019, February 28, 2020 and February 28, 2021, subject to continued employment.
3
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest in equal installments on February 25, 2019 and February 25, 2020, subject to continued employment.
4
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 26, 2019, subject to continued employment.
5
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 27, 2021, subject to continued employment.
6
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 33% on July 27, 2019, 33% on July 27, 2021 and 34% on July 27, 2023, subject to continued employment.
7
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 28, 2020, subject to continued employment.
8
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 33% on June 1, 2019, 33% on June 1, 2021 and 34% on June 1, 2023, subject to continued employment.
9
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on February 25, 2019, subject to continued employment.
10
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest 49% on July 25, 2019 and 51% on July 25, 2021.
11
Grant of restricted stock units in connection with the conversion of certain equity and cash incentive awards previously granted by Honeywell into equity awards of Resideo with respect to, or with a value determined with reference to, Resideo common stock, par value $0.001. The restricted stock units will vest on March 15, 2020, subject to continued employment.
Remarks:
EVP AND CHIEF SALES AND MARKETING OFFICER

Owner Signature

Signature Name
/s/ Jacqueline W. Katzel, as Attorney-in-Fact for Michael D. Flink
Signature Date
2018-10-31
Additional Files
FileSequenceDescriptionTypeSize
0000899243-18-027855.txt   Complete submission text file   34098
$REZI

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