New User? Sign Up | Sign In

Sec Form 4 Filing - DUFFY ROBERT L @ HARRIS CORP - 2018-08-24

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

Enter Stock Symbol or Cik: Cik Lookup...

Search By Company or Insider Name:
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>

Email a friend >>...

SPAC List: List of Special Purpose Acquisition Companies


The following is an SEC EDGAR document rendered as filed.
Here is the list of insider trading transaction codes.

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
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person *
DUFFY ROBERT L
2. Issuer Name and Ticker or Trading Symbol
HARRIS CORP /DE/ [ HRS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP-Human Resources
(Last)
(First)
(Middle)
HARRIS CORPORATION, 1025 W. NASA BOULEVARD
3. Date of Earliest Transaction (MM/DD/YY)
08/24/2018
(Street)
MELBOURNE, FL32919
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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, Par Value $1.00 08/24/2018 M 6,310 ( 1 ) A $ 0 26,324.51 D
Common Stock, Par Value $1.00 08/24/2018 A 126 ( 2 ) A $ 0 26,450.51 D
Common Stock, Par Value $1.00 08/24/2018 F 2,533 ( 3 ) D $ 163.23 23,917.51 ( 4 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Performance Stock Units $ 0 08/24/2018 M 6,310 ( 1 ) ( 1 ) Common Stock, Par Value $1.00 6,310 $ 0 0 D
Performance Stock Units $ 0 08/24/2018 A 3,980 ( 5 ) ( 5 ) Common Stock, Par Value $1.00 3,980 $ 0 3,980 D
Restricted Stock Units $ 0 08/24/2018 A 1,990 ( 6 ) ( 6 ) Common Stock, Par Value $1.00 1,990 $ 0 1,990 D
Non-Qualified Stock Option (Right to Buy) $ 163.23 08/24/2018 A 10,299 08/24/2021( 7 ) 08/24/2028 Common Stock, Par Value $1.00 10,299 $ 0 10,299 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
DUFFY ROBERT L
HARRIS CORPORATION
1025 W. NASA BOULEVARD
MELBOURNE, FL32919
SVP-Human Resources
Signatures
By: /s/ Scott T. Mikuen, Attorney-in-Fact,For: Robert L. Duffy 08/28/2018
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Settlement in shares of common stock of performance stock units awarded on 8/28/2015 (previously reported) that vested at end of 3-fiscal-year performance period on 6/29/2018. (Each performance stock unit represents a contingent right to 1 share of Issuer's common stock.)
( 2 )Settlement in shares of common stock of additional performance stock units from award described in note (1) above that vested based on award payout formula.
( 3 )Shares withheld by Issuer to pay tax liability on vesting of performance stock units previously awarded
( 4 )Aggregate of shares listed includes 15.32 shares acquired through Harris Corporation 401(k) Retirement Plan from 4/11/18 through 5/31/18.
( 5 )Award of performance stock units subject to future vesting on 7/2/2021 in respect of 3-fiscal-year performance period that started 6/30/2018 and also subject to future adjustment based on award payout formula, with vested units to be settled in shares of common stock within 2.5 months of vesting. (Each performance stock unit represents a contingent right to 1 share of Issuer's common stock.)
( 6 )Award of restricted stock units subject to future vesting on 8/24/2021. (Each restricted stock unit represents a contingent right to 1 share of Issuer's common stock.)
( 7 )Aggregate number of options vests and becomes exercisable as follows: 3,433 on first anniversary of grant date, additional 3,433 on second anniversary of grant date and remaining 3,433 on third anniversary of grant date.

Remarks:
Exhibit List:Exhibit 24 - Power of Attorney

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.