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SEC USE ONLY

DOCUMENT SEQUENCE NO.

 

CUSIP NUMBER

 

WORK LOCATION

 


 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

 

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
  or executing a sale directly with a market maker.
     

1 (a) NAME OF ISSUER (Please type or print)

 

Allegion plc

(b) IRS IDENT. NO.

 98-1108930

(c) S.E.C. FILE NO.

 001-35971

    
1 (d) ADDRESS OF ISSUER                 STREET                    CITY                    STATE ZIP CODE (e) TELEPHONE NO.

 

Block D Iveagh Court Harcourt Road Dublin 2

AREA CODE

+(353)

NUMBER

(1) 2546200

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

 

Patrick S. Shannon

  

(b) RELATIONSHIP TO

ISSUER

 

Officer

(c) ADDRESS STREET       CITY       STATE       ZIP CODE

 

c/o Schlage Lock Company, LLC
 11819 N. Pennsylvania Street , Carmel, IN 46032

               

 

 

 

 

 

 

 

 

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a) (b) SEC USE ONLY (c) (d) (e) (f) (g)

Title of the

Class of

Securities

To Be Sold

Name and Address of Each

Broker Through Whom the

Securities are to be Offered

or Each Market Maker

who is Acquiring the Securities

 

Broker-Dealer

File Number

Number of Shares

or Other Units

To Be Sold

(See instr. 3(c))

Aggregate

Market

Value

(See instr. 3(d))

Number of Shares

or Other Units

Outstanding

(See instr. 3(e))

Approximate

Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

Name of Each

Securities

Exchange

(See instr. 3(g))

Ordinary Shares

UBS Financial Services

1285 Avenue of the Americas

New York, NY 10019

   34,898

$ 3,071,721.96

(as of

February 19, 2019)

 

  (94,458,335 as of February 14, 2019) February 20, 2019 NYSE
               

 

INSTRUCTIONS:   3. (a) Title of the class of securities to be sold
1.  (a) Name of issuer     (b) Name and address of each broker through whom the securities are
   (b) Issuer’s I.R.S. Identification Number       intended to be sold
   (c) Issuer’s S.E.C. file number, if any     (c) Number of shares or other units to be sold (if debt securities, give the
   (d) Issuer’s address, including zip code       aggregate face amount)
   (e) Issuer’s telephone number, including area code     (d) Aggregate market value of the securities to be sold as of a specified
   (f) Approximate date on which the securities are to be sold       date within 10 days prior to the filing of this notice
   (g) Name of each securities exchange, if any, on which the     (e) Number of shares or other units of outstanding, as shown by the most
    securities are intended to be sold       the class outstanding, or if debt securities the face amount thereof
2.   (a) Name of person for whose account the securities are to be sold       recent report or statement published by the issuer
   (b) Such person’s relationship to the issuer (e.g., officer, director, 10%  stockholder, or member of immediate family of any of the foregoing)        
   (c) Such person’s address, including zip code        

 

Potential persons who are to 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 1147 (08-07) 

 

 

 

TABLE I - SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of

the Class

 Date you Acquired Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

 Amount of Securities Acquired

Date of

Payment

 Nature of Payment

Ordinary Shares

 

1/2/2018

 

 Vesting of Performance Stock Units Allegion plc 2,623  n/a  n/a

Ordinary Shares

 

1/2/2018

 

 Vesting of Performance Stock Units Allegion plc 2,208  n/a  n/a

Ordinary Shares

 

1/2/2018

 

 Vesting of Performance Stock Units Allegion plc 3,000  n/a  n/a
Ordinary Shares 2/2/2017 Vesting of Performance Stock Units Allegion plc 2,756  n/a  n/a
Ordinary Shares 3/11/2017 Vesting of Restricted Stock Units Allegion plc 297  n/a  n/a
Ordinary Shares 2/16/2018 Vesting of Restricted Stock Units Allegion plc 542  n/a  n/a
Ordinary Shares 2/20/2018 Vesting of Restricted Stock Units Allegion plc 635  n/a  n/a
Ordinary Shares 2/13/2018 Vesting of Restricted Stock Units Allegion plc 699  n/a  n/a
Ordinary Shares 2/16/2018 Vesting of Restricted Stock Units Allegion plc 93  n/a  n/a
Ordinary Shares 3/11/2017 Vesting of Restricted Stock Units Allegion plc 244  n/a  n/a
Ordinary Shares 3/11/2017 Vesting of Restricted Stock Units Allegion plc 80  n/a  n/a
Ordinary Shares 2/20/2019 Exercising of Stock Options Allegion plc 5,916  February 20, 2019  Cash
Ordinary Shares 2/20/2019 Exercising of Stock Options Allegion plc 5,916  February 20, 2019  Cash
Ordinary Shares 2/20/2019 Exercising of Stock Options Allegion plc 8,970  February 20, 2019  Cash
Ordinary Shares 2/20/2019 Exercising of Stock Options Allegion plc 919  February 20, 2019 Cash
INSTRUCTIONS:       If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
                   

 

 

 

 

TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

 

Name and Address of Seller

 

Title of Securities Sold

 

Date of Sale

Amount of

Securities Sold

 Gross Proceeds
         
         

REMARKS:  

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.  If each person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

February 20, 2019   /s/ Hatsuki Miyata, Attorney-In-Fact
DATE OF NOTICE   (SIGNATURE)
     

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,

IF RELYING ON RULE 10B5-1

  

The notice shall be signed by the person for whose account the securities are to be sold.  At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed  printed signatures.

 

ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)