SEC Form 4 · accession 0001179110-15-014296
CARLISLE COMPANIES INC · CSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Roberts
Officer — Chairman & CEO · Director
Period of report
May 4, 2015
Accepted (ET)
Oct 30, 2015 · 12:53 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 | Mar 23, 2015 | G | 60,000 | $0.00 | D | 168,572 | D | |
| Common StockF2,F3,F4 | May 4, 2015 | S | 6,500 | $97.76 | D | 116,274 | I | See Footnote |
| Common StockF5,F6 | Oct 28, 2015 | S | 15,048 | $86.40 | D | 101,226 | I | See Footnote |
| Common StockF7,F8 | Oct 28, 2015 | S | 1,100 | $86.77 | D | 100,126 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 23, 2015, Mr. Roberts gifted 60,000 shares to two separate Grantor Retained Annuity Trusts established for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee. These shares are now included in the indirect share ownership of Mr. Roberts.
- F2Reports the sale of 6,500 shares held in trust for the benefit of Mr. Roberts' child of which Mr. Roberts' spouse is Trustee. This transaction is being reported late due to an inadvertent administrative error.
- F3This transaction was executed in multiple trades at prices ranging from $97.65 to $97.95. 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.
- F4Includes 105,108 shares held in Grantor Retained Annuity Trusts for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee, which also includes the 60,000 shares gifted referenced in footnote 1 above, and 11,166 shares held in trust for the benefit of Mr. Roberts' children of which Mr. Roberts' spouse is Trustee.
- F5This transaction was executed in multiple trades at prices ranging from $85.75 to $86.72. 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.
- F6Includes 90,060 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.
- F7This transaction was executed in multiple trades at prices ranging from $86.75 to $86.77. 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.
- F8Includes 88,960 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.