SEC Form 4/A · accession 0001551182-19-000014
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
Thomas E. Moran
Officer — Sr VP and Secretary
Period of report
Feb 23, 2016
Accepted (ET)
Feb 21, 2019 · 4:01 pm 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 SharesF1 | Feb 24, 2016 | M | 272 | $0.00 | A | 13,155 | D | |
| Ordinary SharesF2 | Feb 24, 2016 | F | 142 | $55.92 | D | 13,013 | D | |
| Ordinary SharesF3 | holding | — | — | — | 171 | I | by trustee of ESP | |
| Ordinary Shares | holding | — | — | — | 600 | I | by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | Feb 24, 2016 | M | 272 | D | — | — | Ordinary Shares | 272 | 553 | D |
| Restricted Stock UnitsF6 | $0.00 | Feb 23, 2016 | A | 1,085 | A | Feb 23, 2017 | — | Ordinary Shares | 1,085 | 1,085 | D |
| Stock OptionF7 | $56.55 | Feb 23, 2016 | A | 5,850 | A | Feb 23, 2017 | Feb 23, 2026 | Ordinary Shares | 5,850 | 5,850 | D |
| Restricted Stock UnitsF8,F9 | $0.00 | Feb 23, 2016 | A | 2,730 | A | Feb 23, 2019 | — | Ordinary Shares | 2,730 | 2,730 | 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.
- F3These ordinary shares are held in the Eaton Savings Plan.
- F4These restricted stock units were surrendered in exchange for ordinary shares of the Issuer.
- F5This field is not applicable.
- F6These restricted stock units vest as follows: 33% on the first and second anniversary of the date of the grant and the remaining 34% on the third anniversary of the date of the grant.
- F7These options become exercisable as follows: 33% on the first and second anniversary of the date of the grant and the remaining 34% on the third anniversary of the date of the grant.
- F8The form is being amended to add the restricted stock units award that was inadvertently omitted at the time of the original filing.
- F9These restricted stock units vest on the third anniversary of the grant date.