Statement of Changes in Beneficial Ownership (4)
November 16 2020 - 06:49PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * KOCH D
CHRISTIAN |
2. Issuer Name and Ticker or Trading
Symbol CARLISLE COMPANIES INC [ CSL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO & President |
(Last)
(First)
(Middle)
C/O CARLISLE COMPANIES INCORPORATED, 16430 N. SCOTTSDALE
ROAD, SUITE 400 |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/13/2020
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(Street)
SCOTTSDALE, AZ 85254
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
11/13/2020 |
|
M |
|
6500 |
A |
$83.31 |
158789 |
D |
|
Common Stock |
11/13/2020 |
|
S |
|
6500 |
D |
$141.03 (1) |
152289 |
D |
|
Common Stock |
11/16/2020 |
|
M |
|
36787 |
A |
$83.31 |
189076 |
D |
|
Common Stock |
11/16/2020 |
|
S |
|
36787 |
D |
$143.14 (2) |
152289 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying
Derivative Security
(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) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right to
Buy) |
$83.31 |
11/13/2020 |
|
M |
|
|
6500 |
(3) |
2/2/2026 |
Common Stock |
6500.0 |
(4) |
36787 |
D |
|
Employee Stock Option (Right to
Buy) |
$83.31 |
11/16/2020 |
|
M |
|
|
36787 |
(3) |
2/2/2026 |
Common Stock |
36787.0 |
(4) |
0 |
D |
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Explanation of
Responses: |
(1) |
This transaction was
executed in multiple trades at prices ranging from $141.00 to
$141.17. The price reported above reflects the weighted average
sales price. The reporting person hereby undertakes to provide to
the SEC staff, the issuer or a security holder of the issuer, upon
request, full information regarding the number of shares sold at
each separate price. |
(2) |
This transaction was
executed in multiple trades at prices ranging from $143.00 to
$143.52. The price reported above reflects the weighted average
sales price. The reporting person hereby undertakes to provide to
the SEC staff, the issuer or a security holder of the issuer, upon
request, full information regarding the number of shares sold at
each separate price. |
(3) |
The option vested in three
equal annual installments beginning on February 3,
2017. |
(4) |
The transaction is the
exercise of a derivative security. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
KOCH D CHRISTIAN
C/O CARLISLE COMPANIES INCORPORATED
16430 N. SCOTTSDALE ROAD, SUITE 400
SCOTTSDALE, AZ 85254 |
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|
CEO & President |
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Signatures
|
/s/ D. Christian Koch by Ronald P. Fuss,
attorney-in-fact |
|
11/16/2020 |
**Signature of
Reporting Person |
Date |