Form 4 Kelly Stephen Montgomery

Statement of changes in beneficial ownership of securities

Published: 2018-11-19 19:04:42
Submitted: 2018-11-19
Period Ending In: 2018-11-15
doc4.html FORM 4 SUBMISSION


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*
Kelly Stephen Montgomery

(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)
11/15/2018
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) 11/15/2018 A 8,337 (1) (1) Common Stock 8,337 $0.00 8,337 D
Explanation of Responses:
1. Grant of restricted stock units pursuant to the 2018 Stock Incentive Plan of Resideo Technologies, Inc. and its Affiliates, which will vest on March 15, 2021, subject to continued employment.
Remarks:
EVP AND CHIEF HUMAN RESOURCES OFFICER
/s/ Jacqueline W. Katzel, as Attorney-in-Fact for Stephen M. Kelly 11/19/2018
** 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:
2018-11-15
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
0001754777
Rpt Owner Name
Kelly Stephen Montgomery

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
2018-11-15

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
8337
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
8337
Shares Owned Following Transaction
8337
Direct Or Indirect Ownership
D
Footnotes Footnote
Grant of restricted stock units pursuant to the 2018 Stock Incentive Plan of Resideo Technologies, Inc. and its Affiliates, which will vest on March 15, 2021, subject to continued employment.
Remarks:
EVP AND CHIEF HUMAN RESOURCES OFFICER

Owner Signature

Signature Name
/s/ Jacqueline W. Katzel, as Attorney-in-Fact for Stephen M. Kelly
Signature Date
2018-11-19
Additional Files
FileSequenceDescriptionTypeSize
0000899243-18-029355.txt   Complete submission text file   5476
$REZI

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