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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 64.8 | 06/12/2015 | M | 9,505 | (4) | 01/15/2020 | Common Stock | 9,505 | $ 0 | 9,506 (5) | D | ||||
Employee Stock Option (Right to Buy) | $ 82.47 | 06/12/2015 | M | 4,984 | (6) | 12/10/2021 | Common Stock | 4,984 | $ 0 | 9,969 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baratelli Yves C/O PALL CORPORATION, 25 HARBOR PARK DRIVE PORT WASHINGTON, NY 11050 |
Group VP, Pres. Life Sciences |
/s/ Adam Mandelbaum as Attorney-in-Fact for Yves Baratelli | 06/16/2015 | |
**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) | This transaction was executed in multiple trades at prices ranging from $124.60 - $124.68. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, Pall Corporation or a shareholder of Pall Corporation full information regarding the numbers of shares and prices at which the transaction was affected. |
(2) | This transaction was executed in multiple trades at prices ranging from $124.62 - $124.65. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, Pall Corporation or a shareholder of Pall Corporation, full information regarding the numbers of shares and prices at which the transactions were effected. |
(3) | In prior filings, the total number of shares held by the reporting person was incorrectly reported due to an administrative error, resulting in under-reporting of the amount of securities beneficially owned by the reporting person as reported in Column 5 of Table I of Form 4. This Form 4 reflects the correct number of shares held. |
(4) | Date shown is grant date. Options vested ratably over four years commencing on the first anniversary of grant date provided the reporting person satisfied certain service conditions. |
(5) | Only represents the derivative securities in this class. |
(6) | Date shown is grant date. Options vest ratably over three years commencing on the first anniversary of the grant date provided the reporting person satisfies certain service conditions. |