Statement of Changes in Beneficial Ownership (4)
10 Mayo 2023 - 5:41PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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Kapur Vimal |
2. Issuer Name and Ticker or Trading Symbol
HONEYWELL INTERNATIONAL INC
[
HON
]
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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)
President & COO |
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(Last)
(First)
(Middle)
855 S. MINT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2023 |
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(Street)
CHARLOTTE, NC 28202 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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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| Common Stock | 5/8/2023 | | M | | 3938 | A | $89.48 (1) | 7781 | D | |
| Common Stock | 5/8/2023 | | F | | 2750 | D | $197.22 (2) | 5031 | D | |
| Common Stock | 5/8/2023 | | M | | 12603 | A | $98.93 (1) | 17634 | D | |
| Common Stock | 5/8/2023 | | F | | 9138 | D | $197.22 (2) | 8496 | D | |
| Common Stock | 5/8/2023 | | M | | 14705 | A | $98.70 (1) | 23201 | D | |
| Common Stock | 5/8/2023 | | F | | 10652 | D | $197.22 (2) | 12549 | D | |
| Common Stock | 5/8/2023 | | S | | 6500 | D | $197.46 (3) | 8622 | I | Held in a trust |
| Common Stock | | | | | | | | 567.779 | 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 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 |
| Stock Option (Right to Buy) | $89.48 (1) | 5/8/2023 | | M | | | 3938 (1) | 2/27/2018 (4) | 2/26/2024 (4) | Common Stock | 3938 (1) | $0.00 | 0 | D | |
| Stock Option (Right to Buy) | $98.93 (1) | 5/8/2023 | | M | | | 12603 (1) | 2/26/2019 (5) | 2/25/2025 | Common Stock | 12603 (1) | $0.00 | 0 | D | |
| Stock Option (Right to Buy) | $98.70 (1) | 5/8/2023 | | M | | | 14705 (1) | 2/25/2020 (6) | 2/24/2026 | Common Stock | 14705 (1) | $0.00 | 0 | D | |
| Explanation of Responses: |
| (1) | All options held by the Reporting Person 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 Garrett Motion Inc. spin-off from Honeywell which occurred on October 1, 2018; and the Resideo Technologies, Inc. spin-off from Honeywell which occurred on October 29, 2018. |
| (2) | The price reported in this column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $197.16 to $197.22, 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. |
| (3) | The price reported in this column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $197.43 to $197.46 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. |
| (4) | The stock options were granted under the 2011 Stock Incentive Plan and vested in four equal annual installments, with the first installment vesting on February 27, 2015. |
| (5) | The stock options were granted under the 2011 Stock Incentive Plan and vested in four equal annual installments, with the first installment vesting on February 26, 2016. |
| (6) | The stock options were granted under the 2011 Stock Incentive Plan and vested in four equal annual installments, with the first installment vesting on February 25, 2017. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Kapur Vimal
855 S. MINT STREET
CHARLOTTE, NC 28202 | X |
| President & COO |
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Signatures
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| Su Ping Lu for Vimal Kapur | | 5/10/2023 |
| **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 control number. |
Honeywell (NYSE:HON)
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