SEC Form 4 · accession 0001551182-16-000122
Eaton Corp plc · ETN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Revathi Advaithi
Officer — See Remarks below.
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 10:25 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001551182
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Nov 18, 2016 | M | 9,008 | $27.29 | A | 71,397 | D | |
| Ordinary Shares | Nov 18, 2016 | S | 9,008 | $64.184 | D | 62,389 | D | |
| Ordinary Shares | Nov 18, 2016 | M | 10,992 | $27.29 | A | 73,381 | D | |
| Ordinary Shares | Nov 18, 2016 | F | 4,673 | $64.188 | D | 68,708 | D | |
| Ordinary SharesF1 | Nov 18, 2016 | S | 30,000 | $64.155 | D | 38,708 | D | |
| Ordinary Shares | holding | — | — | — | 1,231 | I | by trustee of ESP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $27.29 | Nov 18, 2016 | M | 9,008 | D | — | Oct 1, 2018 | Ordinary Shares | 9,008 | 10,992 | D |
| Stock OptionF2 | $27.29 | Nov 18, 2016 | M | 10,992 | D | — | Oct 1, 2018 | Ordinary Shares | 10,992 | 0 | D |
Explanation of responses
- F1Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $64.123 - $64.185. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
- F2These options were granted on October 1, 2008, and became exercisable as follows: 33% on the first and second anniversaries of the grant date and the remaining 34% on the third anniversary of the grant date.