PENTAIR plc 10-Q

ITEM 5. OTHER INFORMATION (c) During the third quarter of 2023, none of our directors or Section 16 officers adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement” (as each term is defined in Item 408(a) of Regulation S-K), except as set forth in the table below. Name and Title Action Taken Date Type of Trading Arrangement (1) Duration of Trading Arrangement (2) Aggregate Number of Shares to be Sold T. Michael Glenn , Director Adoption 08/17/2023 Rule 10b5-1 trading arrangement 12/06/2024 Up to 6,268 shares issuable upon the exercise of options to acquire shares pursuant to the trading arrangement David A. Jones , Director Adoption 08/17/2023 Rule 10b5-1 trading arrangement 12/15/2023 Up to 2,260 shares issuable upon the exercise of options to acquire shares pursuant to the trading arrangement Phil M. Rolchigo , Executive Vice President and Chief Technology Officer Adoption 08/10/2023 Rule 10b5-1 trading arrangement 02/07/2024 Up to 2,427 shares issuable upon the exercise of options to acquire shares pursuant to the trading arrangement (1) Each trading arrangement marked as a Rule 10b5-1 trading arrangement is intended to satisfy the affirmative defense of Rule 10b5-1(c). (2) Each trading arrangement permits transactions through and including the earlier to occur of the completion of all sales under the trading arrangement or the date listed in the table. 40 Table of Contents ITEM 6. EXHIBITS The exhibits listed in the following Exhibit Index are filed as part of this Quarterly Report on Form 10-Q. Exhibit Index to Form 10-Q for the Period Ended September 30, 2023 22 List of Guarantors and Subsidiary Issuers of Guaranteed Securities. (Incorporated by reference to Exhibit 22 to the Quarterly Report on Form 10-Q of Pentair plc for the quarter ended September 30, 2022 (File No. 001-11625)). 31.1 Certification of Chief Executive Officer. 31.2 Certification of Chief Financial Officer. 32.1 Certification of Chief Executive Officer, Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 32.2 Certification of Chief Financial Officer, Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101 The following materials from Pentair plc’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 are filed herewith, formatted in iXBRL (Inline Extensible Business Reporting Language): (i) the Condensed Consolidated Statements of Operations and Comprehensive Income for the three and nine months ended September 30, 2023 and 2022, (ii) the Condensed Consolidated Balance Sheets as of September 30, 2023 and December 31, 2022, (iii) the Condensed Consolidated Statements of Cash Flows for the nine months ended September 30, 2023 and 2022, (iv) the Condensed Consolidated Statements of Changes in Equity for the three and nine months ended September 30, 2023 and 2022, and (v) Notes to Condensed Consolidated Financial Statements. The instance document does not appear in the interactive data file because its XBRL tags are embedded within the Inline XBRL document. 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). 41 Table of Contents SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, on October 24, 2023. Pentair plc Registrant By /s/ Robert P. Fishman Robert P. Fishman Executive Vice President, Chief Financial Officer and Chief Accounting Officer 42