SEC Form 4 · accession 0001127602-15-011918
PALL CORP · PLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Wolfgang Platz
Officer — President, Pall Europe
Period of report
Mar 16, 2015
Accepted (ET)
Mar 18, 2015 · 5:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000075829
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 16, 2015 | M | 900 | $36.64 | A | 21,435 | D | |
| Common Stock | Mar 16, 2015 | M | 11,094 | $59.75 | A | 32,529 | D | |
| Common StockF1 | Mar 16, 2015 | S | 900 | $101.589 | D | 31,629 | D | |
| Common StockF2 | Mar 16, 2015 | S | 6,000 | $101.981 | D | 25,629 | D | |
| Common Stock | Mar 16, 2015 | S | 5,094 | $102.50 | D | 20,535 | 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)F4,F3 | $36.64 | Mar 16, 2015 | M | 900 | D | Jul 14, 2010 | Jul 14, 2017 | Common Stock | 900 | 0 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $59.75 | Mar 16, 2015 | M | 11,094 | D | Jan 18, 2012 | Jan 18, 2019 | Common Stock | 11,094 | 3,699 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.57 to $101.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.96 to $102.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F3Date shown is the date of grant. These options vested ratably over a period of four years commencing on the first anniversary of the grant date, provided the reporting person satisfies certain service conditions.
- F4Only represents the derivative securities in this class.
- F5Date shown is the date of grant. These options vest ratably over a period of four years commencing on the first anniversary of the grant date, provided the reporting person satisfies certain service conditions.