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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 | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 55.78 | 02/18/2014 | M(1) | 9,565 | 08/24/2010 | 08/24/2014 | Common Stock, Par Value $1.00 | 9,565 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 48.96 | 02/18/2014 | M(1) | 11,151 | 08/23/2011 | 08/23/2015 | Common Stock, Par Value $1.00 | 11,151 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 37.69 | 02/19/2014 | M | 10,000 | (5) | 08/26/2021 | Common Stock, Par Value $1.00 | 10,000 | $ 0 | 18,200 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MIKUEN SCOTT T HARRIS CORPORATION 1025 WEST NASA BOULEVARD MELBOURNE, FL 32919 |
Sr VP-General Counsel & Secy |
/s/ Scott T. Mikuen | 02/20/2014 | |
**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) | The exercise of options and sale of underlying 20,716 shares on February 18, 2014 as reported on this Form 4 were sold pursuant to a sale plan adopted by the reporting person on November 18, 2013, pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934. |
(2) | The price reported in Column 4 is a weighted average sale price. The 11,151 shares were sold in multiple transactions at prices ranging from $72.045 to $72.71 and a weighted average sale price of $72.37. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
(3) | The price reported in Column 4 is a weighted average sale price. The 10,000 shares were sold in multiple transactions at prices ranging from $72.94 to $73.679 and a weighted average sale price of $73.34. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
(4) | Aggregate of 19,247.99 shares listed in Column 5 of Table I includes: (a) 9.23 shares acquired through the Harris Corporation Dividend Reinvestment Plan from 9/24/13 through 12/6/13 and (b) 38.79 shares acquired through dividend reinvestment in the Harris Corporation 401(k) Retirement Plan from 9/6/13 through 11/19/13. |
(5) | Of the 28,200 shares granted on this 8/26/11 stock option, 9,400 shares were exercisable on 8/26/12, 9,400 shares were exercisable on 8/26/13, and 9,400 shares will be exercisable on 8/26/14. |