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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Options (7) | $ 38.31 | 05/03/2016 | M | 97,740 | (8) | 02/02/2021 | Common Stock | 97,740 | (9) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROBERTS DAVID A C/O CARLISLE COMPANIES INCORPORATED 11605 NORTH COMMUNITY HOUSE ROAD CHARLOTTE, NC 28277 |
X | Executive Chairman |
/s/ David A. Roberts by Steven Ford, attorney-in-fact | 05/04/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes 138 shares acquired in the issuer's defined contribution plan. |
(2) | This transaction was executed in multiple trades at prices ranging from $100.60 to $101.59. The price reported above reflects the weighted average sales price. Mr. Roberts hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
(3) | This transaction was executed in multiple trades at prices ranging from $101.60 to $102.50. The price reported above reflects the weighted average sales price. Mr. Roberts hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
(4) | On February 2, 2016, 24,411 shares were transferred to a Grantor Retained Annuity Trust for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee. |
(5) | On February 22, 2016, 20,164 shares held in Grantor Retained Annuity Trusts were transferred back to Mr. Roberts. |
(6) | Includes 120,910 shares held in Grantor Retained Annuity Trusts for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee and 11,166 shares held in trust for the benefit of Mr. Roberts' children of which Mr. Roberts' spouse is Trustee. |
(7) | Right to buy. |
(8) | 32,580 options exercisable on each of February 3, 2012, February 3, 2013 and February 3, 2014, cumulatively. |
(9) | The transaction is the exercise of a derivative security. |