UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (Rights to Buy) | 01/16/2014 | 01/16/2020 | Common Stock | 1,190 | $ 64.8 | D | Â |
Employee Stock Options (Rights to Buy) | 01/16/2015 | 01/16/2020 | Common Stock | 1,190 | $ 64.8 | D | Â |
Employee Stock Options (Rights to Buy) | 01/16/2016 | 01/16/2020 | Common Stock | 1,190 | $ 64.8 | D | Â |
Employee Stock Options (Rights to Buy) | 01/16/2017 | 01/16/2020 | Common Stock | 1,190 | $ 64.8 | D | Â |
Restricted Stock Units | 01/16/2017 | 01/16/2017 | Common Stock | 1,374.59 | $ (1) | D | Â |
Restricted Stock Units | 09/24/2017 | 09/24/2017 | Common Stock | 2,930.15 | $ (1) | D | Â |
Salary Units | 01/31/2017 | 01/31/2017 | Common Stock | 313.9 | $ (2) | D | Â |
Salary Units | 07/31/2017 | 07/31/2017 | Common Stock | 1,967.73 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jones R. Brent C/O PALL CORPORATION 25 HARBOR PARK DRIVE PORT WASHINGTON, NY 11050 |
 |  |  VP Finance and Treasurer |  |
/s/ Cherita Thomas as Attorney-in-Fact for R. Brent Jones | 10/03/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The Units will vest and become convertible into shares of Common Stock of the Issuer on a one-for-one basis on the date shown in column 2, provided the Reporting Person is still employed by the Issuer or a subsidiary on that date. If employment terminates sooner, the Units will be forfeited unless termination of employment occurs because of death, disability or retirement, in any of which events the Units may vest in whole or in part. |
(2) | The Units will vest and become convertible into shares of Common Stock of the Issuer on a one-for-one basis on the date shown in column 2, subject to adjustments if the Reporting Person's employment with the Issuer terminates under certain circumstances prior to the fourth anniversary of the date on which the Units were granted, or, if later, the date to which the Reporting Person elects to defer receipt of common stock beyond the vesting date. |