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SEC USE ONLY |
DOCUMENT SEQUENCE NO. |
CUSIP NUMBER |
WORK LOCATION |
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) Ingersoll-Rand plc | (b) IRS IDENT. NO. 98-0626632 | (c) S.E.C. FILE NO. 001-34400 | |||||
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE | (e) TELEPHONE NO. | ||||||
170/175 Lakeview Drive, Airside Business Park, Swords, Co. Dublin Ireland | AREA CODE +(353)(0) | NUMBER 1870-7400 | |||||
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD Robert Gs. Zafari | (b) RELATIONSHIP TO ISSUER Officer | (c) ADDRESS STREET CITY STATE ZIP CODE 170/175 Lakeview Drive, Airside Business Park, Swords, Co. Dublin Ireland | |||||
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, New York 10019 | 10,000 | $617,300.00 (as of October 30, 2014) | 265,471,878 (as of October 10, 2014) | October 31, 2014 | 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 securities are intended to be sold | (e) | Number of shares or other units of outstanding, as shown by the most | ||||||||||
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 | ||||||||||||
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 Ordinary Shares Ordinary Shares Ordinary Shares Ordinary Shares Ordinary Shares | 02/12/2010 11/23/2010 02/12/2011 02/16/2011 02/28/2011 02/12/2012 | Vesting of restricted stock units Vesting of SARs Vesting of restricted stock units Vesting of restricted stock units Vesting of performance share units Vesting of restricted stock units | Ingersoll-Rand plc Ingersoll-Rand plc Ingersoll-Rand plc Ingersoll-Rand plc Ingersoll-Rand plc Ingersoll-Rand plc | 1,047 1,202 833 849 5,485 584 | n/a n/a n/a n/a n/a n/a | n/a n/a n/a n/a n/a n/a | |||
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. | |||||||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds |
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. | |
October 31, 2014 | /s/ Sara Walden Brown, 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 o printed signatures. | |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |