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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 | ||||||||
Stock Option (Right to Buy) | $ 19.4 | 11/01/2011 | A | 3,560 | (1) | 05/07/2012 | Common Stock | 3,560 | $ 0 | 3,560 | D | ||||
Stock Option (Right to Buy) | $ 17.35 | 11/01/2011 | A | 2,420 | (1) | 01/04/2013 | Common Stock | 2,420 | $ 0 | 2,420 | D | ||||
Stock Option (Right to Buy) | $ 21.03 | 11/01/2011 | A | 2,480 | (1) | 02/02/2014 | Common Stock | 2,480 | $ 0 | 2,480 | D | ||||
Stock Option (Right to Buy) | $ 25.53 | 11/01/2011 | A | 2,140 | (1) | 03/08/2012 | Common Stock | 2,140 | $ 0 | 2,140 | D | ||||
Stock Option (Right to Buy) | $ 29.57 | 11/01/2011 | A | 3,040 | (1) | 03/06/2013 | Common Stock | 3,040 | $ 0 | 3,040 | D | ||||
Stock Option (Right to Buy) | $ 32.56 | 11/01/2011 | A | 2,700 | (1) | 03/07/2014 | Common Stock | 2,700 | $ 0 | 2,700 | D | ||||
Stock Option (Right to Buy) | $ 29.81 | 11/01/2011 | A | 2,960 | (1) | 03/10/2015 | Common Stock | 2,960 | $ 0 | 2,960 | D | ||||
Stock Option (Right to Buy) | $ 18.63 | 11/01/2011 | A | 3,970 | (2) | 03/05/2016 | Common Stock | 3,970 | $ 0 | 3,970 | D | ||||
Stock Option (Right to Buy) | $ 30.03 | 11/01/2011 | A | 2,860 | (3) | 03/05/2020 | Common Stock | 2,860 | $ 0 | 2,860 | D | ||||
Phantom Stock | (4) | 11/01/2011 | A | 1,840 | (5) | (5) | Common Stock | 1,840 | $ 0 | 1,840 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAMRE JOHN J 1133 WESTCHESTER AVENUE C/O XYLEM INC. WHITE PLAINS, NY 10604 |
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/s/ Rina E. Teran, Assistant Corporate Secretary of Xylem Inc., by power of attorney for John J. Hamre | 11/03/2011 | |
**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) | These options are fully vested and exercisable. |
(2) | 2,647 options are vested and exercisable and the remainder will vest on March 5, 2012. |
(3) | 954 options are vested and exercisable and the remainder will vest in two equal annual installments beginning on March 5, 2012. |
(4) | Each share of phantom stock represents the right to receive the cash value of 1 share of Xylem Inc. common stock. |
(5) | Credited shares of phantom stock are payable in cash following the director's termination of service on the board of directors or a date selected by the director. |
Remarks: Securities reported herein as having been acquired were equity awards formerly granted by ITT Corporation converted into equity awards of Xylem Inc. in connection with the spin-off of Xylem Inc. from ITT Corporation. |