SEC Form 4 · accession 0000950138-17-000341
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael H. Train
Officer — Exec. Pres. Auto. Sols.
Period of report
Mar 20, 2017
Accepted (ET)
Mar 22, 2017 · 10:08 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 20, 2017 | M | 10,000 | $53.835 | A | 128,143 | D | |
| Common StockF2 | Mar 20, 2017 | F | 8,930 | $60.275 | D | 119,213 | D | |
| Common StockF3 | Mar 20, 2017 | F | 179 | $60.275 | D | 119,034 | D | |
| Common Stock | holding | — | — | — | 555 | I | Profit Sharing Plan | |
| Common Stock | holding | — | — | — | 9,417 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 412 | 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 | Mar 20, 2017 | M | 10,000 | D | Oct 1, 2008 | Oct 1, 2017 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Exercise of 4,429 non-qualified stock options and 5,571 incentive 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.
- F4The options vested in three equal annual installments beginning on the date indicated.
- F5Price is not applicable to stock options received as incentive compensation.