SEC Form 4/A · accession 0001551182-18-000132
Eaton Corp plc · ETN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Joao V Faria
Officer — See Remarks below.
Period of report
Feb 23, 2018
Accepted (ET)
Mar 13, 2018 · 1:38 pm EDT
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 SharesF1 | Feb 23, 2018 | M | 606 | $0.00 | A | 48,752 | D | |
| Ordinary SharesF2 | Feb 23, 2018 | F | 179 | $82.12 | D | 48,573 | D | |
| Ordinary SharesF1 | Feb 23, 2018 | M | 774 | $0.00 | A | 49,347 | D | |
| Ordinary SharesF2 | Feb 23, 2018 | F | 226 | $82.12 | D | 49,121 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4,F5 | $0.00 | Feb 23, 2018 | M | 606 | D | Feb 24, 2016 | — | Ordinary Shares | 606 | 0 | D |
| Restricted Stock UnitsF3,F6,F5 | $0.00 | Feb 23, 2018 | M | 774 | D | Feb 23, 2017 | — | Ordinary Shares | 774 | 798 | D |
Explanation of responses
- F1These ordinary shares were acquired upon the vesting and settlement of certain restricted stock units.
- F2These ordinary shares were delivered to the Issuer to pay for the applicable withholding tax due upon vesting of certain restricted stock units. The amount was revised to show the proper amount withheld.
- F3Each restricted stock unit represents a contingent right to receive one common share of the issuer.
- F4These restricted stock units were granted on February 24, 2015 and vest as follows: 33% on the first and second anniversary of the grant date and the remaining 34% on the third anniversary of the grant date.
- F5This field is not applicable.
- F6These restricted stock units were granted on February 23, 2016 and vest as follows: 33% on the first and second anniversary of the grant date and the remaining 34% on the third anniversary of the grant date.
Remarks
President - Vehicle Group of Eaton Corporation, a subsidiary of the Issuer.