# EDGAR Filing Document

**Accession Number:** 0001390036
**File Stem:** 0001567619-23-000374
**Filing Date:** 2023-1
**Character Count:** 7769
**Document Hash:** 447d974943b5a28c4323cffbcb8d8021
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001567619-23-000374.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001567619-23-000374

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230102

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Stauch John L
- **CENTRAL INDEX KEY:** 0001390036

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-11625
- **FILM NUMBER:** 23509248

**MAIL ADDRESS:**
- **STREET 1:** 5500 WAYZATA BOULEVARD
- **STREET 2:** SUITE 600
- **CITY:** GOLDEN VALLEY
- **STATE:** MN
- **ZIP:** 55416
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PENTAIR plc
- **CENTRAL INDEX KEY:** 0000077360
- **STANDARD INDUSTRIAL CLASSIFICATION:** SPECIAL INDUSTRY MACHINERY (NO METALWORKING MACHINERY) [3550]
- **IRS NUMBER:** 981050812
- **STATE OF INCORPORATION:** L2
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** REGAL HOUSE, 70 LONDON ROAD
- **STREET 2:** TWICKENHAM
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** TW13QS
- **BUSINESS PHONE:** 763-545-1730

**MAIL ADDRESS:**
- **STREET 1:** C/O PENTAIR MANAGEMENT COMPANY
- **STREET 2:** 5500 WAYZATA BLVD, SUITE 900
- **CITY:** GOLDEN VALLEY
- **STATE:** MN
- **ZIP:** 55416

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PENTAIR LTD
- **DATE OF NAME CHANGE:** 20121003

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PENTAIR INC
- **DATE OF NAME CHANGE:** 19920703

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PENTAIR INDUSTRIES INC
- **DATE OF NAME CHANGE:** 19790327

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Stauch John L<br><sub>(Last) (First) (Middle)</sub><br>5500 WAYZATA BLVD., SUITE 900<br><sub>(Street)</sub><br>GOLDEN VALLEY, MN 55416<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-02 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President & CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PENTAIR plc [ PNR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Shares | 2023-01-02 |  | F<sup>(1)</sup> |  | 260 | D | $45.20 | 549<sup>(2)(3)(4)</sup> | D |  |
| Common Shares | 2023-01-03 |  | F<sup>(1)</sup> |  | 241 | D | $45.20 | 1035<sup>(2)(3)(4)</sup> | D |  |
| Common Shares - Restricted Stock Units | 2023-01-03 |  | A<sup>(5)</sup> |  | 34292 | A | $0 | 65269.73<sup>(3)(6)</sup> | D |  |
| Common Shares |  |  |  |  |  |  |  | 311052.281<sup>(4)</sup> | I | By Spouse Trust |
| Common Shares - Deferral Plan |  |  |  |  |  |  |  | 196874.427<sup>(3)(6)(7)</sup> | I | Plan Agent |
| Common Shares - ESOP |  |  |  |  |  |  |  | 914.774<sup>(6)</sup> | I | Plan Agent |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (right to buy) | $45.20 | 2023-01-03 |  | A<sup>(8)</sup> |  | 115738 |  | <sup>(9)</sup> | 2033-01-03 | Common Shares | 115738 | $0 | 115738 | D |  |

---

### Footnotes:

(1) Shares surrendered to pay taxes applicable to vesting of restricted stock units.

(2) End-of-period holdings include monthly purchases under the ESPP in exempt transactions pursuant to Rule 16b-3(c).

(3) End-of-period holdings reflect the vesting of restricted stock units that were previously reported.

(4) Since the date of the reporting person's last ownership form, 7,059.6316 shares held directly have been transferred and are now held indirectly by a trust owned by the reporting person's spouse.

(5) Restricted stock units granted pursuant to and subject to a vesting condition of the Pentair plc 2020 Share and Incentive Plan. Each restricted stock unit represents a right to receive one Pentair plc share upon vesting.

(6) End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a).

(7) Pentair plc shares will be delivered to the reporting person in accordance with their irrevocable deferral election.

(8) Employee stock option granted under the Pentair plc 2020 Share and Incentive Plan.

(9) One-third of the stock options become exercisable on the first, second and third anniversary of the grant.

**Signature:** /s/ John K. Wilson, Attorney-in-Fact for John L. Stauch  
**Date:** 2023-01-04

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**