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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 11605 NORTH COMMUNITY HOUSE ROAD CHARLOTTE, NC 28277 |
X | Executive Chairman |
/s/ David A. Roberts by Steven Ford, attorney-in-fact | 01/05/2016 | |
**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) | Grant of 43,416 performance shares. |
(2) | Not applicable. |
(3) | On December 7, 2015, 4,220 shares held in a Grantor Retained Annuity Trust were transferred back to Mr. Roberts. |
(4) | On January 4, 2016, 31,923 shares were transferred to a Grantor Retained Annuity Trust of which Mr. Roberts' spouse is Trustee. |
(5) | Includes 84,740 shares held in Grantor Retained Annuity Trusts for the benefit of Mr. Roberts' children of which Mr. Roberts is Trustee, 31,923 shares 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. |