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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 | ||||||||
Restricted Stock Units | (2) | 02/05/2019 | A | 2,076 (3) | (4) | (4) | Common Stock | 2,076 | $ 0 | 6,323 (5) | D |
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 |
X |
/s/ David A. Roberts by Ronald P. Fuss, attorney-in-fact | 02/06/2019 | |
**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) | Consists of (i) 111,138 shares held in Grantor Retained Annuity Trusts for the benefit of the reporting person's children of which the reporting person is trustee, (ii) 24,177 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, (iii) 10,594 shares held in trust for the benefit of the reporting person's children of which the reporting person's spouse is trustee, which excludes 1,166 shares previously reported that have since been transferred to the reporting person's child according to the terms of the trust, and (iv) 10,278 shares held in a private foundation created by the reporting person. |
(2) | Each restricted stock unit represents a right to receive one share of the issuer's common stock. |
(3) | Represents a grant of units from the issuer for services as a director of the issuer. |
(4) | The restricted stock units were fully vested on the date of grant and the vested shares will be delivered to the reporting person upon the reporting person's termination of service as a director of the issuer. |
(5) | Includes 59 units acquired through dividend reinvestment during the prior year. |