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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 | ||||||||
Phantom Stock Units | (3) | 01/02/2014 | I | 44.27 | (4) | (4) | Common Stock, Par Value $1.00 | 44.27 | $ 68.48 | 1,447.78 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHWARTZ LEWIS A CORPORATE HEADQUARTERS 1025 W. NASA BOULEVARD MELBOURNE, FL 32919 |
VP, Principal Accting. Officer |
/s/ Lewis A. Schwartz | 01/03/2014 | |
**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 sale of 500 shares as reported on this Form 4 was executed pursuant to a sale plan adopted by the reporting person on August 2, 2013, pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934. |
(2) | Aggregate of 16,617.93 shares listed in Column 5 of Table I includes 24.23 shares acquired through Haris Corporation 401(k) Retirement Plan on 11/19/13. |
(3) | Each phantom stock unit is the economic equivalent of one share of the Issuer's common stock. |
(4) | The phantom stock units were accrued under the Harris Corporation Supplemental Executive Retirement Plan. Phantom stock units are to be settled in cash upon the reporting person's retirement or other events. Prior to settlement, the reporting person may also transfer phantom stock units into alternative investment accounts. |
(5) | The aggregate of 1,447.78 phantom stock units includes 9.23 phantom stock units acquired through dividend reinvestmeent in the Harris Corporation Supplemental Executive Retirement Plan on 11/19/13. |