SEC Form 4/A · accession 0000790051-18-000024
CARLISLE COMPANIES INC · CSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David A Roberts
Director
Period of report
Dec 30, 2017
Accepted (ET)
Jan 10, 2018 · 3:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000790051
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 133,793 | D | ||
| Common StockF1,F2,F3 | holding | — | — | — | 108,246 | I | See Footnote (3) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 3, 2018, the reporting person filed a Form 4 for transactions occurring on December 31, 2017 that reported (i) the grant of 18,056 performance shares and (ii) the withholding of 17,832 shares to satisfy the reporting person's tax obligation (the "12/31 Filing"). On January 3, 2018, the reporting person filed another Form 4 for a transaction occurring on December 30, 2017 that reported the withholding of 11,201 shares to satisfy the reporting person's tax obligation unrelated to the transactions in the 12/31 Filing (the "12/30 Filing"). On January 5, 2018, the reporting person mistakenly filed a Form 4/A that re-reported the transactions already reported on the 12/31 Filing as well as included the transaction reported on the 12/30 Filing.
- F2The purpose of this filing is to clarify that the transactions reported on the Form 4/A were duplicative of, and not in addition to, the transactions reported on the 12/31 Filing and the 12/30 Filing. As of December 31, 2017, the reporting person owned 133,793 shares of the issuer's common stock directly and 108,246 shares of the issuer's common stock indirectly.
- F3Consists of (i) 68,103 shares held in Grantor Retained Annuity Trusts for the benefit of the reporting person's children of which the reporting person is trustee, (ii) 28,383 shares held in a Grantor Retained Annuity Trust for the benefit of the reporting person's children of which the reporting person's spouse is trustee, and (iii) 11,760 shares held in trust for the benefit of the reporting person's children of which the reporting person's spouse is trustee.