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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROBERTS DAVID A C/O CARLISLE COMPANIES INCORPORATED 16430 N. SCOTTSDALE ROAD, SUITE 400 SCOTTSDALE, AZ 85254 |
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/s/ David A. Roberts by Michael L. Roberson, attorney-in-fact | 01/10/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On January 3, 2018, the reporting person filed a Form 4 for transactions occurring on December 31, 2017 that reported (i) the grant of 18,056 performance shares and (ii) the withholding of 17,832 shares to satisfy the reporting person's tax obligation (the "12/31 Filing"). On January 3, 2018, the reporting person filed another Form 4 for a transaction occurring on December 30, 2017 that reported the withholding of 11,201 shares to satisfy the reporting person's tax obligation unrelated to the transactions in the 12/31 Filing (the "12/30 Filing"). On January 5, 2018, the reporting person mistakenly filed a Form 4/A that re-reported the transactions already reported on the 12/31 Filing as well as included the transaction reported on the 12/30 Filing. |
(2) | The purpose of this filing is to clarify that the transactions reported on the Form 4/A were duplicative of, and not in addition to, the transactions reported on the 12/31 Filing and the 12/30 Filing. As of December 31, 2017, the reporting person owned 133,793 shares of the issuer's common stock directly and 108,246 shares of the issuer's common stock indirectly. |
(3) | Consists of (i) 68,103 shares held in Grantor Retained Annuity Trusts for the benefit of the reporting person's children of which the reporting person is trustee, (ii) 28,383 shares held in a Grantor Retained Annuity Trust for the benefit of the reporting person's children of which the reporting person's spouse is trustee, and (iii) 11,760 shares held in trust for the benefit of the reporting person's children of which the reporting person's spouse is trustee. |