SEC Form 4 · accession 0001179110-17-002056
CARLISLE COMPANIES INC · CSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Roberts
Director
Period of report
Feb 8, 2017
Accepted (ET)
Feb 9, 2017 · 4:44 pm 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 StockF1,F2 | holding | — | — | — | 161,737 | D | ||
| Common StockF1,F2 | holding | — | — | — | 103,796 | I | See Footnotes 1 and 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Feb 8, 2017 | A | 2,089 | A | — | — | Common Stock | 2,089 | 2,089 | D |
Explanation of responses
- F1Includes 3,540 shares reclassified as direct ownership from a Grantor Retained Annuity Trust that are held in trust for which Mr. Roberts' spouse is Trustee as mentioned in Footnote 2 and an additional 10 shares acquired in the issuer's defined contribution plan during the prior year.
- F2Includes 64,247 shares held in Grantor Retained Annuity Trusts for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee, 28,383 shares (of which 3,540 shares were reclassified as direct ownership as mentioned in Footnote 1) held in a Grantor Retained Annuity Trust for the benefit of Mr. Roberts' children of which Mr. Roberts' spouse is Trustee and 11,166 shares held in trust for the benefit of Mr. Roberts' children of which Mr. Roberts' spouse is Trustee.
- F31 for 1.
- F4The restricted stock units are payable in common stock of the issuer (one common share for each unit) upon the reporting person's termination of service as a director of the issuer.