SEC Form 4 · accession 0001179110-16-024314
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 9, 2016
Accepted (ET)
May 11, 2016 · 12:16 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 Stock | May 9, 2016 | M | 26,100 | $18.57 | A | 173,717 | D | |
| Common StockF1 | May 9, 2016 | S | 26,100 | $102.04 | D | 147,617 | D | |
| Common Stock | May 10, 2016 | M | 34,434 | $18.57 | A | 182,051 | D | |
| Common StockF2 | May 10, 2016 | S | 34,434 | $102.57 | D | 147,617 | D | |
| Common Stock | May 10, 2016 | M | 35,800 | $18.57 | A | 183,417 | D | |
| Common StockF3 | May 10, 2016 | S | 35,800 | $103.15 | D | 147,617 | D | |
| Common StockF4 | 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 OptionsF5,F7,F6 | $18.57 | May 9, 2016 | M | 26,100 | A | — | Feb 3, 2019 | Common Stock | 26,100 | 173,900 | D |
| Common Stock OptionsF5,F7,F6 | $18.57 | May 10, 2016 | M | 70,234 | A | — | Feb 3, 2019 | Common Stock | 70,234 | 103,666 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $102.00 to $102.21. 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 $102.02 to $103.01. 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 $103.02 to $103.26. 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 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.
- F5Right to buy.
- F666,667 options exercisable on each of February 4, 2010 and February 4, 2011, and 66,666 options exercisable on February 4, 2012, cumulatively.
- F7The transaction is the exercise of a derivative security.