-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VEAtT9mCMQEPpXhQ+xjBlEgBWxXDMr95lSI2H6+SFOM61tQtdSaAw6tBADS+AI3/ H/m/KICe5G98DoGMmVDfrw== 0000077360-03-000009.txt : 20030106 0000077360-03-000009.hdr.sgml : 20030106 20030103191739 ACCESSION NUMBER: 0000077360-03-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030103 FILED AS OF DATE: 20030106 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HOGAN RANDALL J CENTRAL INDEX KEY: 0001189049 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: 1500 COUNTY ROAD B2 WEST CITY: ST PAUL STATE: MN ZIP: 55113-3105 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENTAIR INC CENTRAL INDEX KEY: 0000077360 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY (NO METALWORKING MACHINERY) [3550] IRS NUMBER: 410907434 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11625 FILM NUMBER: 03503856 BUSINESS ADDRESS: STREET 1: 1500 COUNTY ROAD B2 WEST STREET 2: SUITE 400 CITY: ST. PAUL STATE: MN ZIP: 55113 BUSINESS PHONE: 6516367920 FORMER COMPANY: FORMER CONFORMED NAME: PENTAIR INDUSTRIES INC DATE OF NAME CHANGE: 19790327 4 1 hogan1303form4.txt FORM 4 FOR RANDALL J. HOGAN 1. Name and Address of Reporting Person Hogan, Randall J. 1500 County Road B2 West Suite 400 St. Paul, MN 55113-3105 USA 2. Issuer Name and Ticker or Trading Symbol Pentair, Inc. (PNR) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Day/Year 01/03/2003 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chairman, CEO 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person TABLE I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
+------------------------------+----------+----------+---------+--------------------------+--------------+-----------+------------+ |1. Title of Security |2. Trans- |2A.Execu- |3. Trans-|4. Securities Acquired (A)|5. Amount of |6. Owner- |7. Nature | | | action | action | action| or Disposed of (D) |Securities | ship | of In- | | | Date | Date | Code | |Beneficially | Form: | direct | | | | | | |Owned | Direct | Bene- | | | (Month/ | (Month/ | | |Following | (D) or | ficial | | | Day/ | Day/ +-----+---+-----------+---+----------+Reported | Indirect| Owner- | | | Year) | Year) |Code |V |Amount |A/D|Price |Transaction(s)| (I) | ship | +------------------------------+----------+----------+-----+---+-----------+---+----------+--------------+-----------+------------+ Common Stock 01/02/2003 A 27000 A $0.0000 D Common Stock 01/02/2003 F -4491 D $34.9400 81978.871 D Common Stock 10000 I By Spouse Trust Common Stock 81036 I By Trust Common Stock - ESOP 236.414 I By ESOP
TABLE II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
+----------+--------+-------+-------+---------+-----------+---------------------+----------------+----------+-------+-------+------+ |1. |2. |3. |3A. |4. |5. |6. |7. |8. |9. |10. |11. | | | | | | | | | | |Number |Owner- | | | | | | | | | | | |of |ship | | | | | | | | | | | |Deriv- |Form of| | | | | | | | | |Title and Amount| |ative |Deriv- | | | | | | | | | |of Underlying | |Secur- |ative |Nature| | |Conver- |Trans- |Execu- | |Number of | |Securities | |ities |Secur- |of | | |sion or |action |tion | |Derivative |Date Exercisable +-------+--------+ |Benefi-|ity: |In- | | |Exercise|Date |Date | |Securities |and Expiration Date | |Amount | |cially |Direct |direct| | |Price of| | |Transac- |Acquired(A)|(Month/Day/Year) | |or | |Owned |(D) or |Bene- | |Title of |Deriv- |(Month/|(Month/|tion Code|Disposed(D)+----------+----------+ |Number |Price of | |In- |ficial| |Derivative|ative | Day/ | Day/ +------+--+-----+-----+Date Exer-|Expira- | |of |Derivative| |direct |Owner-| |Security |Security|Year) |Year) |Code |V |(A) |(D) |cisable |tion Date |Title |Shares |Security | |(I) |ship | +----------+--------+-------+-------+------+--+-----+-----+----------+----------+-------+--------+----------+-------+-------+------+ Incentive $0 01/03/2 J 28960 01/03/2003 01/03/2003 Cash-On 289600 $0.0000 0 D Bonus Award 003 0 ly (cash-only Right right) Employee $34.94 01/02/2 A 11910 01/02/2004 01/02/2013 Common 119100 $0.0000 119100 D Stock 003 0 Stock Option (right to buy) Explanation of Responses: Restricted stock granted pursuant to the Pentair, Inc. Omnibus Stock Incentive Plan. Shares remain subject to a vesting condition under the stock bonus plan. Shares surrendered to pay taxes applicable to vesting of restricted stock. The number of securities beneficially owned at the end of the reporting period may include transactions not required to be reported pursuant to Section 16(a). Payment of vested incentive bonus award based on operating income growth and return on invested capital averaged over the three-year vesting period. Employee stock option granted pursuant to the Pentair, Inc. Omnibus Stock Incentive Plan. One-third of the stock options become exercisable on the first, second, and third anniversary of the grant.
SIGNATURE OF REPORTING PERSON /s/ Louis L. Ainsworth DATE 01/03/2003 -----END PRIVACY-ENHANCED MESSAGE-----