Statement of Changes in Beneficial Ownership (4)
16 November 2021 - 10:17PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
PETRATIS DAVID D |
2. Issuer Name and Ticker or Trading Symbol
Allegion plc
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ALLE
]
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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) Chairman, President & CEO |
(Last)
(First)
(Middle)
C/O SCHLAGE LOCK COMPANY LLC, 11819 N. PENNSYLVANIA STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/12/2021 |
(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 | 11/12/2021 | | S(1) | | 2841 | D | $135.00 (2) | 51141 | I | See footnote (3) |
Ordinary Shares | | | | | | | | 18536 | I | By Reporting Person's wife |
Ordinary Shares | | | | | | | | 18537 | I | By Grantor Retained Annuity Trust |
Ordinary Shares | | | | | | | | 109433.722 (4) | 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 |
Explanation of Responses: |
(1) | All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on May 19, 2021 by each of the irrevocable trusts, respectively, for the benefit of each of the Reporting Person's daughters. |
(2) | This transaction was executed in multiple sales, all at $135.00 per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected regarding this footnote. |
(3) | Reflects securities held by irrevocable trusts for the benefit of each of the Reporting Person's daughters. The Reporting Person disclaims beneficial ownership over the securities held by the trusts, except to the extent of his pecuniary interest therein, if any. |
(4) | Includes acquisition of shares through a dividend reinvestment plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PETRATIS DAVID D C/O SCHLAGE LOCK COMPANY LLC 11819 N. PENNSYLVANIA STREET CARMEL, IN 46032 | X |
| Chairman, President & CEO |
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Signatures
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/s/ Hatsuki Miyata, Attorney-In-Fact | | 11/16/2021 |
**Signature of Reporting Person | Date |
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