SEC Form 4 · accession 0001179110-15-014565
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
Nov 5, 2015
Accepted (ET)
Nov 6, 2015 · 11:52 am 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 Stock | Nov 5, 2015 | M | 83,224 | $34.21 | A | 251,796 | D | |
| Common StockF1 | Nov 5, 2015 | S | 83,224 | $86.69 | D | 168,572 | D | |
| Common Stock | Nov 5, 2015 | M | 14,626 | $34.21 | A | 183,198 | D | |
| Common StockF2 | Nov 5, 2015 | S | 14,626 | $87.27 | D | 168,572 | D | |
| Common StockF3 | holding | — | — | — | 100,126 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionsF4,F6,F5 | $34.21 | Nov 5, 2015 | M | 97,850 | A | — | Feb 1, 2020 | Common Stock | 97,850 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $86.16 to $87.15. 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.
- F2This transaction was executed in multiple trades at prices ranging from $87.16 to $87.46. 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.
- F3Includes 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.
- F4Right to buy.
- F532,617 options exercisable on each of February 2, 2011 and February 2, 2012, and 32,616 options exercisable on February 2, 2013, cumulatively.
- F6The transaction is the exercise of a derivative security.