SEC Form 4 · accession 0001225208-18-016361
ESTERLINE TECHNOLOGIES CORP · ESL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Alan Ross
Officer — EVP, Pres - Sensors & Systems
Period of report
Dec 6, 2018
Accepted (ET)
Dec 10, 2018 · 3:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000033619
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 6, 2018 | M | 7,875 | $78.87 | A | 12,454 | D | |
| Common Stock | Dec 6, 2018 | M | 3,600 | $79.31 | A | 16,054 | D | |
| Common Stock | Dec 6, 2018 | M | 2,550 | $71.85 | A | 18,604 | D | |
| Common Stock | Dec 6, 2018 | M | 1,050 | $92.75 | A | 19,654 | D | |
| Common StockF1 | Dec 6, 2018 | S | 14,590 | $121.29 | D | 5,064 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $78.87 | Dec 6, 2018 | M | 7,875 | D | Aug 24, 2016 | Aug 24, 2025 | Common Stock | 7,875 | 2,625 | D |
| Employee Stock Option (Right to Buy)F3 | $92.75 | Dec 6, 2018 | M | 1,050 | D | Nov 7, 2018 | Nov 7, 2027 | Common Stock | 1,050 | 3,150 | D |
| Employee Stock Option (Right to Buy)F4 | $71.85 | Dec 6, 2018 | M | 2,550 | D | Nov 8, 2017 | Nov 8, 2026 | Common Stock | 2,550 | 2,550 | D |
| Employee Stock Option (Right to Buy)F5 | $79.31 | Dec 6, 2018 | M | 3,600 | D | Nov 18, 2016 | Nov 18, 2025 | Common Stock | 3,600 | 1,200 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average sale price. The prices actually received ranged from $121.21 to $121.50. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F2This option vests and becomes exercisable in four annual increments of 25% each commencing on August 24, 2016.
- F3This option vests and becomes exercisable in four annual increments of 25% each commencing on November 7, 2018.
- F4This option vests and becomes exercisable in four annual increments of 25% each commencing on November 8, 2017.
- F5This option vests and becomes exercisable in four annual increments of 25% each commencing on November 18, 2016.