SEC Form 4 · accession 0000950138-17-000161
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Schlueter
Officer — VP, Contr. & Chief Acc. Off.
Period of report
Feb 9, 2017
Accepted (ET)
Feb 13, 2017 · 1:47 pm EST
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 | Feb 9, 2017 | M | 4,429 | $53.835 | A | 81,782 | D | |
| Common StockF2 | Feb 9, 2017 | F | 3,786 | $62.97 | D | 77,996 | D | |
| Common StockF3 | Feb 9, 2017 | F | 249 | $62.97 | D | 77,747 | D | |
| Common Stock | holding | — | — | — | 3,257 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 1,577 | 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,F5,F4 | $53.835 | Feb 9, 2017 | M | 4,429 | D | Oct 1, 2008 | Oct 1, 2017 | Common Stock | 4,429 | 0 | D |
Explanation of responses
- F1Exercise of 4,429 non-qualified stock options exempt under Rule 16b-3.
- F2Payment of option exercise price by delivering securities.
- F3Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.
- F4When taken together with previously exercised 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.
- F5Price is not applicable to stock options received as incentive compensation.