FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/02/2007 |
3. Issuer Name and Ticker or Trading Symbol
HONEYWELL INTERNATIONAL INC [ HON ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
None | 0 | D | |
Common Stock | 293.821 | I | Held in 401(k) plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (right to buy) | (1) | 03/23/2010 | Common Stock | 3,000 | $47.85 | D | |
Employee Stock Options (right to buy) | (1) | 04/18/2010 | Common Stock | 5,000 | $54.75 | D | |
Restricted Stock Units | (2) | (2) | Common Stock | 15,000 | $0(3) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 17,000 | $0(3) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 2,800 | $0(3) | D | |
Employee Stock Options (right to buy) | (6) | 02/01/2015 | Common Stock | 22,000 | $36.51 | D | |
Employee Stock Options (right to buy) | (7) | 02/16/2016 | Common Stock | 25,000 | $42.32 | D | |
Employee Stock Options (right to buy) | (8) | 02/25/2017 | Common Stock | 14,000 | $47.38 | D |
Explanation of Responses: |
1. These Employee Stock Options were granted under the Corporation's 1993 Stock Plan and are fully vested. |
2. The Restricted Stock Units were granted under the Corporation's 2003 Stock Incentive Plan with 4,950 fully vested on July 17, 2006, 4,950 vesting on July 17, 2008 and 5,100 vesting on July 17, 2010. |
3. Instrument converts to common stock on a one-for-one basis. |
4. The Restricted Stock Units were granted under the Corporation's 2006 Stock Incentive Plan with 5,610 vesting on June 28, 2009, 5,610 vesting on June 28, 2011 and 5,780 vesting on June 28, 2013. |
5. The Restricted Stock Units were granted under the Corporation's 2006 Stock Incentive Plan with all units vesting on February 26, 2010. |
6. The Employee Stock Options were granted under the Corporation's 2003 Stock Incentive Plan. The option grant is exercisable in three annual installments of 40%, 30% and 30%, respectively. The first installment became exercisable on January 1, 2006 and the next two installments become exercisable on January 1, 2007 and January 1, 2008. |
7. The Employee Stock Options were granted under the Corporation's 2003 Stock Incentive Plan. The option grant is exercisable in three annual installments of 40%, 30% and 30%, respectively. The first installment became exercisable on January 1, 2007 and the next two installments become exercisable on January 1, 2008 and January 1, 2009. |
8. The Employee Stock Options were granted under the Corporation's 2006 Stock Incentive Plan. The option grant is exercisable in four equal annual installments, with the first installment becoming exercisable on February 26, 2008. |
Jacqueline Whorms for Mark R. James | 11/13/2007 | |
** 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 5 (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. |