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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units | $ 0 | 08/31/2007 | A | 4,041.07 (4) | (5) | (5) | Ordinary Shares | 4,041.07 | $ 0 | 4,041.07 (6) | I | By Plan Trustee |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AVEDON MARCIA J C/O INGERSOLL-RAND COMPANY ONE CENTENNIAL AVENUE PISCATAWAY, NJ 08854 |
Senior Vice President |
/s/ S. Wade Sheek - Attorney-in-Fact | 09/30/2011 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Reflects acquisitions of dividend equivalents paid on Company stock held through Company deferred compensation plans from September 1, 2009 to June 30, 2011. The dividends equivalents are paid at the same rate and at the same time as dividends paid to the Company's shareholders. Prior to July 1, 2009, acquisitions of dividend equivalents were exempt from reporting pursuant to Rule 16a-11 under the Securities Exchange Act of 1934 (the "Act"). On July 1, 2009, the Company became the successor of Ingersoll-Rand Company Limited, a Bermuda company ("IR-Bermuda"), and in connection therewith, IR Bermuda's dividend reinvestment plan was terminated. A similar report is being filed for all Section 16 officers and directors who participate in Company deferred compensation plans. |
(2) | Reflects total ownership as of the date of this filing. |
(3) | Latest available information provided by the trustee of the Ingersoll-Rand Employee Savings Plan. |
(4) | Reflects Company matching contributions and dividends on such contributions under Company supplemental compensation plans that were invested in a unitized Company stock fund from August 31, 2007 to September 7, 2011. The Company has determined that such supplemental plans do not meet all of the requirements for an "Excess Benefit Plan" under which transactions are generally exempt from reporting pursuant to Rules16b-3(c) of the Act. A similar report is being filed for all Section 16 officers who participate in Company supplemental compensation plans. |
(5) | These Phantom Stock Units are to be settled in cash equal to the fair market value of ordinary shares multiplied by the number of phantom stock units held upon the reporting person's termination of employment with the issuer. |
(6) | The number of shares is an approximate number based on the total market value of the reporting person's Company stock fund units, as reported by the trustee of the Company supplemental compensation plans. |