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) 07/01/2010 |
3. Issuer Name and Ticker or Trading Symbol
Ingersoll-Rand plc [ IR ] |
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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) |
Ordinary Shares | 4,030 | D | |
Ordinary Shares (Restricted Share Units)(1) | 2,631 | D | |
Ordinary Shares (Restricted Share Units)(2) | 3,799 | D | |
2009 - 2010 Performance Share Units(3) | 9,931 | D | |
2009 - 2011 Performance Share Units(4) | 9,931 | D | |
2010 - 2012 Performance Share Units(5) | 6,331 | D |
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 | ||||
Stock Appreciation Rights | (6) | 01/01/2011 | Ordinary Shares | 2,400 | $20.27 | D | |
Stock Appreciation Rights | (7) | 01/01/2012 | Ordinary Shares | 4,000 | $20.9 | D | |
Stock Appreciation Rights | (8) | 02/03/2014 | Ordinary Shares | 13,240 | $32.18 | D | |
Stock Appreciation Rights | (9) | 02/01/2015 | Ordinary Shares | 14,400 | $38.69 | D | |
Stock Appreciation Rights | (10) | 01/31/2016 | Ordinary Shares | 7,500 | $39.43 | D | |
Stock Option (Right to Buy) | (11) | 02/06/2017 | Ordinary Shares | 13,910 | $43.13 | D | |
Stock Option (Right to Buy) | (12) | 02/14/2018 | Ordinary Shares | 18,471 | $39 | D | |
Stock Option (Right to Buy) | (13) | 02/11/2019 | Ordinary Shares | 19,730 | $16.85 | D | |
Stock Option (Right to Buy) | (14) | 02/15/2020 | Ordinary Shares | 10,744 | $31.59 | D |
Explanation of Responses: |
1. Represents ordinary shares that may be issued upon the vesting of a like number of restricted share units granted on February 12, 2009. The restricted share units vest in three equal annual installments beginning on the first anniversary of the date of grant. |
2. Represents ordinary shares that may be issued upon the vesting of a like number of restricted share units granted on February 16, 2010. The restricted share units vest in three equal annual installments beginning on the first anniversary of the date of grant. |
3. Represents target number of Performance Shares. The actual number of shares to be issued, which could range from 0 to two times the initial target amount, will depend upon, among other things, the issuer's financial performance during the relevant performance period relative to companies in the S&P 500 Industrial Index. The shares, if any, will be issued in February 2011. |
4. Represents target number of Performance Shares. The actual number of shares to be issued, which could range from 0 to two times the initial target amount, will depend upon, among other things, the issuer's financial performance during the relevant performance period relative to companies in the S&P 500 Industrial Index. The shares, if any, will be issued in February 2012. |
5. Represents target number of Performance Shares. The actual number of shares to be issued, which could range from 0 to two times the initial target amount, will depend upon, among other things, the issuer's financial performance during the relevant performance period relative to companies in the S&P 500 Industrial Index. The shares, if any, will be issued in February 2013. |
6. Stock appreciation rights, which have a ten-year term, became exercisable in three equal annual installments beginning on 01/02/2002. |
7. Stock appreciation rights, which have a ten-year term, became exercisable in three equal annual installments beginning on 01/02/2003. |
8. Stock appreciation rights, which have a ten-year term, became exercisable in three equal annual installments beginning on 02/04/2005. |
9. Stock appreciation rights, which have a ten-year term, became exercisable in three equal annual installments beginning on 02/02/2006. |
10. Stock appreciation rights, which have a ten-year term, became exercisable in three equal annual installments beginning on 02/01/2007. |
11. The stock options, which have a ten-year term, vest in three equal installments beginning on 02/07/2008. |
12. The stock options, which have a ten-year term, vest in three equal installments beginning on 02/15/2009. |
13. The stock options, which have a ten-year term, vest in three equal installments beginning on 02/12/2010. |
14. The stock options, which have a ten-year term, vest in three equal annual installments beginning on 02/16/2011. |
Remarks: |
/s/ Kenneth H. Yi - Attorney-in-Fact | 07/09/2010 | |
** 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. |