SEC Form 4 · accession 0000950138-17-000163
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David N Farr
Officer — Chairman of Board and CEO · Director
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 1:51 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 10, 2017 | M | 18,575 | $53.835 | A | 1,734,878 | D | |
| Common StockF2 | Feb 10, 2017 | F | 900 | $63.045 | D | 1,733,978 | D | |
| Common Stock | holding | — | — | — | 401,801 | I | Spouse | |
| Common Stock | holding | — | — | — | 69,723 | I | Trust - Son | |
| Common Stock | holding | — | — | — | 59,723 | I | Trust - Daughter | |
| Common Stock | holding | — | — | — | 9,488 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 36,756 | 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)F4,F3 | $53.835 | Feb 10, 2017 | M | 18,575 | D | Oct 1, 2008 | Oct 1, 2017 | Common Stock | 18,575 | 172,138 | D |
Explanation of responses
- F1Exercise of 18,575 non-qualified stock options exempt under Rule 16b-3.
- F2Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.
- F3When 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.
- F4Price is not applicable to stock options received as incentive compensation.