Sec Form 4 Filing - PELTZ NELSON @ Ingersoll-Rand plc - 2013-11-13

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
PELTZ NELSON
2. Issuer Name and Ticker or Trading Symbol
Ingersoll-Rand plc [ IR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
280 PARK AVENUE, 41ST FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
11/13/2013
(Street)
NEW YORK, NY10017
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Ordinary Shares 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 5,179 A $ 41.4842 12,909,173 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S( 1 )( 2 )( 3 )( 4 ) 5,179 D $ 67.6912 12,903,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 180,529 A $ 41.3579 13,084,523 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S( 1 )( 2 )( 3 )( 4 ) 180,529 D $ 67.6912 12,903,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 94,807 A $ 41.3195 12,998,801 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S( 1 )( 2 )( 3 )( 4 ) 94,807 D $ 67.6912 12,903,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 22,027 A $ 40.9063 12,926,021 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S( 1 )( 2 )( 3 )( 4 ) 22,027 D $ 67.6912 12,903,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 197,458 A $ 41.1372 13,101,452 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S( 1 )( 2 )( 3 )( 4 ) 197,458 D $ 67.6912 12,903,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S 100,000 D $ 67.5836 ( 7 ) 12,803,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/13/2013 S 70,000 D $ 67.4312 ( 8 ) 12,733,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 24,016 A $ 41.3579 12,758,010 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 S( 1 )( 2 )( 3 )( 4 ) 24,016 D $ 67.8896 12,733,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 8,903 A $ 41.3195 12,742,897 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 S( 1 )( 2 )( 3 )( 4 ) 8,903 D $ 67.8896 12,733,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 106,058 A $ 40.9063 12,840,052 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 S( 1 )( 2 )( 3 )( 4 ) 106,058 D $ 67.8896 12,733,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 6,023 A $ 40.8707 12,740,017 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 S( 1 )( 2 )( 3 )( 4 ) 6,023 D $ 67.8896 12,733,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/14/2013 S 145,000 D $ 67.85 ( 9 ) 12,588,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 31,121 A $ 41.3195 12,620,115 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 S( 1 )( 2 )( 3 )( 4 ) 31,121 D $ 68.2938 12,588,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 18,575 A $ 41.1372 12,607,569 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 S( 1 )( 2 )( 3 )( 4 ) 18,575 D $ 68.2938 12,588,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 122,062 A $ 40.8707 12,711,056 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 S( 1 )( 2 )( 3 )( 4 ) 122,062 D $ 68.2938 12,588,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 47,142 A $ 40.8666 12,636,136 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 S( 1 )( 2 )( 3 )( 4 ) 47,142 D $ 68.2938 12,588,994 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Ordinary Shares 11/15/2013 S 230,000 D $ 68.257 ( 10 ) 12,358,994 I ( 5 ) ( 6 ) Pl ease see explanation below ( 5 ) ( 6 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Put/Call Option (right and obligation to buy) $ 41.4842 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 5,179 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 5,179 $ 41.4842 0 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.3579 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 180,529 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 180,529 $ 41.3579 83,049 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.395 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 94,807 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 94,807 $ 41.395 73,228 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 40.9063 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 22,027 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 22,027 $ 40.9063 106,058 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.1372 11/13/2013 X( 1 )( 2 )( 3 )( 4 ) 197,458 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 197,458 $ 41.1372 82,800 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.3579 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 24,016 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 24,016 $ 41.3579 59,033 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.3195 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 8,903 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 8,903 $ 41.3195 64,325 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 40.9063 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 106,058 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 106,058 $ 40.9063 0 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 40.8707 11/14/2013 X( 1 )( 2 )( 3 )( 4 ) 6,023 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 6,023 $ 40.8707 122,062 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.3195 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 31,121 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 31,121 $ 41.3195 33,204 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 41.1372 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 18,575 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 18,575 $ 41.1372 64,225 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Put/Call Option (right and obligation to buy) $ 40.8707 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 122,062 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 122,062 $ 40.8707 0 I ( 5 ) ( 6 ) Please see explanation below ( 5 )
Put/Call Option (right and obligation to buy) $ 40.8666 11/15/2013 X( 1 )( 2 )( 3 )( 4 ) 47,142 ( 1 )( 2 )( 3 ) 06/01/2014 Ordinary Shares 47,142 $ 40.8666 80,943 I ( 5 ) ( 6 ) Please see explanation below ( 5 ) ( 6 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
PELTZ NELSON
280 PARK AVENUE
41ST FLOOR
NEW YORK, NY10017
X
TRIAN FUND MANAGEMENT, L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK, NY10017
X less than 10% owner
Signatures
Stacey L. Sayetta, Attorney-in-fact for Nelson Peltz 11/15/2013
Signature of Reporting Person Date
Stacey L. Sayetta, Attorney-in-Fact for Peter W. May, member of the general partner of Trian Fund Management, L.P. 11/15/2013
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each of Trian Onshore, Trian Offshore and TPSIF (each as defined below and collectively, the "Trian Option Holders") have entered into a series of privately negotiated back-to-back call and put transactions (the "Options") with two counterparties ("Counterparty 1" and "Counterparty 2") through which they acquired an economic interest in the indicated shares. In these transactions, simultaneously with the purchase of each call option from a counterparty, the Trian Option Holders also sold a put option to such counterparty for the same number of shares.
( 2 )(FN 1, contd.) Pursuant to the put option, if on the expiration date of the Options (which expiration date may be extended by Counterparty 1 or Counterparty 2, as applicable at its option, for 2 years or 18 months respectively, the "Expiration Date"), the exercise price per share of the call option were greater than the closing price of the shares on the Expiration Date (the "Closing Price"), then the counterparty would be entitled to cause the applicable Trian Option Holders, at their election, to either (i) pay the counterparty an amount in cash equal to the product of (a) the excess of the exercise price per share pursuant to such option (the "Exercise Price") over the Closing Price and (b) the number of shares set forth above or (ii) acquire from the counterparty the number of shares set forth above at the Exercise Price.
( 3 )(FN 2, contd.) The call options are exercisable into shares of common stock of the Issuer at any time, in whole or in part, prior to their expiration date. As part of these transactions, the Trian Option Holders pay each counterparty a financing fee based on the number of days that the Options that it holds are outstanding, which fee is calculated using a monthly rate equal to one month LIBOR plus an applicable spread.
( 4 )Cash settled exercise of put/call options (right and obligation to buy). Upon the exercise of the call options, a corresponding number of put options held by the applicable counterparty automatically terminated.
( 5 )Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P. ("Trian Onshore"), Trian Partners Master Fund, L.P. ("Trian Offshore"), Trian Partners Parallel Fund I, L.P. ("Parallel Fund I"), Trian Partners Master Fund (ERISA), L.P., ("Trian ERISA"), Trian Partners Strategic Investment Fund, L.P. ("TPSIF"), Trian Partners Strategic Investment Fund-A, L.P. ("Strategic Fund-A"), Trian Partners Strategic Co-Investment Fund-A, L.P. ("Coinvest Fund-A"), Trian IR Holdco Ltd. ("IR Holdco"), Trian SPV (SUB) VI, L.P. ("SPV VI") and Trian SPV (SUB) VI-A, L.P. ("SPV VI-A" and collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.
( 6 )(FN 5, contd.) Mr. Peltz is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Peltz may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Peltz is a director of the Issuer.
( 7 )The price shown in Column 4 is a weighted average sale price. The price range for the sales is $67.45 to $67.72. The Reporting Person undertake to provide upon request by the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
( 8 )The price shown in Column 4 is a weighted average sale price. The price range for the sales is $67.00 to $67.75. The Reporting Person undertake to provide upon request by the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
( 9 )The price shown in Column 4 is a weighted average sale price. The price range for the sales is $67.32 to $68.09. The Reporting Person undertake to provide upon request by the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
( 10 )The price shown in Column 4 is a weighted average sale price. The price range for the sales is $67.71 to $68.61. The Reporting Person undertake to provide upon request by the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

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