SEC Form 4 · accession 0001179110-16-023720
CARLISLE COMPANIES INC · CSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Roberts
Officer — Executive Chairman · Director
Period of report
May 3, 2016
Accepted (ET)
May 4, 2016 · 12:04 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,F4,F5 | May 3, 2016 | M | 90,820 | $38.31 | A | 238,437 | D | |
| Common StockF2 | May 3, 2016 | S | 90,820 | $100.94 | D | 147,617 | D | |
| Common Stock | May 3, 2016 | M | 6,920 | $38.31 | A | 154,537 | D | |
| Common StockF3 | May 3, 2016 | S | 6,920 | $101.89 | D | 147,617 | D | |
| Common StockF4,F5,F6 | holding | — | — | — | 132,076 | I | See Footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionsF7,F9,F8 | $38.31 | May 3, 2016 | M | 97,740 | A | — | Feb 2, 2021 | Common Stock | 97,740 | 0 | D |
Explanation of responses
- F1Includes 138 shares acquired in the issuer's defined contribution plan.
- F2This transaction was executed in multiple trades at prices ranging from $100.60 to $101.59. 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.
- F3This transaction was executed in multiple trades at prices ranging from $101.60 to $102.50. 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.
- F4On February 2, 2016, 24,411 shares were transferred to a Grantor Retained Annuity Trust for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee.
- F5On February 22, 2016, 20,164 shares held in Grantor Retained Annuity Trusts were transferred back to Mr. Roberts.
- F6Includes 120,910 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.
- F7Right to buy.
- F832,580 options exercisable on each of February 3, 2012, February 3, 2013 and February 3, 2014, cumulatively.
- F9The transaction is the exercise of a derivative security.