SEC Form 4 · accession 0000790051-18-000142
CARLISLE COMPANIES INC · CSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Roberts
Director
Period of report
Sep 13, 2018
Accepted (ET)
Sep 14, 2018 · 1:55 pm EDT
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 | Sep 13, 2018 | M | 36,533 | $18.57 | A | 131,565 | D | |
| Common StockF2 | Sep 13, 2018 | S | 36,533 | $127.52 | D | 95,032 | D | |
| Common StockF3 | holding | — | — | — | 147,075 | I | See footnote 3 |
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)F5,F4 | $18.57 | Sep 13, 2018 | M | 36,533 | A | — | Feb 3, 2019 | Common Stock | 36,533 | 0 | D |
Explanation of responses
- F1See Footnote 3. Excludes 57,142 shares transferred to two Grantor Retained Annuity Trusts created on February 26, 2018 for the benefit of the reporting person's children of which the reporting person is trustee and includes (i) 14,107 shares transferred from three separate Grantor Retained Annuity Trusts upon distribution from these trusts of which the reporting person is trustee and (ii) 4,206 shares transferred from a Grantor Retained Annuity Trust upon distribution from this trust of which the reporting person's spouse is trustee.
- F2This transaction was executed in multiple trades at prices ranging from $127.28 to $127.86. The price reported above reflects the weighted average sales price. The reporting person 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.
- F3Consists of (i) 111,138 shares held in Grantor Retained Annuity Trusts for the benefit of the reporting person's children of which the reporting person is trustee, of which 57,142 shares were reclassified as indirect ownership upon the creation of two separate Grantor Retained Annuity Trusts on February 26, 2018 for the benefit of the reporting person's children of which the reporting person is trustee, and of which 14,107 shares were reclassified as direct ownership upon distribution from three separate Grantor Retained Annuity Trusts, (ii) 24,177 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, of which 4,206 shares were reclassified as direct ownership upon distribution from this Grantor Retained Annuity Trust, 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.
- F4The option vested in three equal annual installments beginning on February 4, 2010.
- F5The transaction is the exercise of a derivative security.