0000930413-17-001996.txt : 20170504 0000930413-17-001996.hdr.sgml : 20170504 20170504163249 ACCESSION NUMBER: 0000930413-17-001996 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170210 FILED AS OF DATE: 20170504 DATE AS OF CHANGE: 20170504 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HONEYWELL INTERNATIONAL INC CENTRAL INDEX KEY: 0000773840 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 222640650 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 115 TABOR ROAD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 BUSINESS PHONE: 9734552000 MAIL ADDRESS: STREET 1: 115 TABOR ROAD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 FORMER COMPANY: FORMER CONFORMED NAME: ALLIEDSIGNAL INC DATE OF NAME CHANGE: 19940929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COTE DAVID M CENTRAL INDEX KEY: 0001136538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08974 FILM NUMBER: 17814452 MAIL ADDRESS: STREET 1: 115 TABOR ROAD CITY: MORRIS PLAINS STATE: NJ ZIP: 07950 4 1 c88326_4.xml X0306 4 2017-02-10 0 0000773840 HONEYWELL INTERNATIONAL INC HON 0001136538 COTE DAVID M 115 TABOR ROAD MORRIS PLAINS NJ 07950 1 0 0 0 Common Stock 2017-02-10 5 G 0 E 95452.60 0 D 0 I Held in a grantor retained annuity trust Common Stock 2017-02-10 5 G 0 E 95452.60 0 A 95452.60 I See footnote Common Stock 2017-05-02 4 M 0 283975 28.19 A 379427.60 I See footnote Common Stock 2017-05-02 4 F 0 174561 131.14 D 204866.60 I See footnote Common Stock 2017-05-02 4 M 0 955437 39.95 A 1032239 I See footnote Common Stock 2017-05-02 4 F 0 629362 131.14 D 402877 I See footnote Common Stock 2017-05-03 4 M 0 653720 58.15 A 971215 D Common Stock 2017-05-03 4 M 0 671462 28.19 A 1642677 D Common Stock 2017-05-03 4 S 0 898796 130.74 D 743881 D Common Stock 2017-05-03 4 S 0 70854 131.27 D 673027 D Common Stock 24913 I Held in 401(k) plan Stock Option (right to buy) 28.19 2017-05-02 4 M 0 283975 0 D 2019-02-23 Common Stock 283975 0 I See footnote Stock Option (right to buy) 39.95 2017-05-02 4 M 0 955437 0 D 2020-02-25 Common Stock 955437 0 I See footnote Stock Option (right to buy) 58.15 2017-05-03 4 M 0 653720 0 D 2018-02-25 Common Stock 653720 0 D Stock Option (right to buy) 28.19 2017-05-03 4 M 0 671462 0 D 2019-02-23 Common Stock 671462 0 D Reflects a transfer from a terminating grantor retained annuity trust to a trust for the benefit of certain of Mr. Cote's family members. Held by a trust for the benefit of certain of Mr. Cote's family members for which Mr. Cote serves as an investment advisor. Mr. Cote disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Represents an exercise of employee stock options pursuant to the net settlement provision of the stock option, with shares of common stock withheld for the payment of exercise price and taxes. Following the exercise, Mr. Cote and his trusts remain in compliance with the ownership thresholds under the Stock Ownership Guidelines of the Company and are required under the Guidelines to hold the net gain shares (net of shares withheld to cover the exercise price and taxes) for at least one year. Held directly or indirectly by trusts for the benefit of certain of Mr. Cote's family members for which Mr. Cote serves as the investment advisor. Reflects an annuity payment from a grantor retained annuity trust, which was exempt from reporting pursuant to Rule 16a-13. The price reported in this column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.13 to $131.12, inclusive. The Reporting Person undertakes to provide to Honeywell International Inc., any security holder of Honeywell International Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in this column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.13 to $131.50, inclusive. The Reporting Person undertakes to provide to Honeywell International Inc., any security holder of Honeywell International Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. All options have been adjusted to increase the number of shares and reduce the exercise price, in a manner subject to the adjustment provisions of the AdvanSix Inc. spin-off from Honeywell which occurred on October 1, 2016. The Employee Stock Options were granted under the 2006 Stock Incentive Plan of Honeywell International Inc. and its Affiliates and vested in four equal annual installments, with the first installment vesting on 2/24/2010. The Employee Stock Options were granted under the 2006 Stock Incentive Plan of Honeywell International Inc. and its Affiliates and vested in four equal annual installments, with the first installment vesting on 2/26/2011. The Employee Stock Options were granted under the 2006 Stock Incentive Plan of Honeywell International Inc. and its Affiliates and vested in four equal annual installments, with the first installment vesting on 2/26/2009. /s/ Jacqueline Katzel for David M. Cote 2017-05-04