SEC Form 4 · accession 0000950138-15-000289
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David N Farr
Officer — Chairman of Board & CEO · Director
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 10:51 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000032604
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 30, 2015 | M | 9,287 | $53.835 | A | 1,662,156 | D | |
| Common StockF2 | Mar 30, 2015 | F | 67 | $56.90 | D | 1,662,089 | D | |
| Common Stock | holding | — | — | — | 376,801 | I | Spouse | |
| Common Stock | holding | — | — | — | 59,723 | I | Trust - Daughter | |
| Common Stock | holding | — | — | — | 59,723 | I | Trust - Son | |
| Common Stock | holding | — | — | — | 8,527 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 31,681 | I | 401(k) excess plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1,F4,F3 | $53.835 | Mar 30, 2015 | M | 9,287 | D | Oct 1, 2008 | Oct 1, 2017 | Common Stock | 9,287 | 190,713 | D |
Explanation of responses
- F1Exercise of 3,716 non-qualified stock options and 5,571 incentive stock options exempt under Rule 16b-3.
- F2Shares withheld for taxes exempt under Rule 16b-3 resulting from non-qualified stock option exercise.
- F3When taken together with unexercised options having the same grant date, exercise price, and expiration date, all such options together vested in three equal annual installments beginning on the date indicated.
- F4Price is not applicable to stock options received as incentive compensation.