SEC Form 4 · accession 0000950138-17-000373
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward L Monser
Officer — President
Period of report
May 5, 2017
Accepted (ET)
May 9, 2017 · 2:55 pm 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 | May 5, 2017 | M | 50,000 | $53.835 | A | 224,108 | D | |
| Common StockF2 | May 5, 2017 | F | 45,855 | $58.70 | D | 178,253 | D | |
| Common StockF3 | May 5, 2017 | F | 1,306 | $58.70 | D | 176,947 | D | |
| Common StockF4 | May 5, 2017 | M | 40,000 | $30.025 | A | 216,947 | D | |
| Common StockF2 | May 5, 2017 | F | 20,459 | $58.70 | D | 196,488 | D | |
| Common StockF3 | May 5, 2017 | F | 7,918 | $58.70 | D | 188,570 | D | |
| Common Stock | holding | — | — | — | 1,619 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 6,150 | 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,F6,F5 | $53.835 | May 5, 2017 | M | 50,000 | D | Oct 1, 2008 | Oct 1, 2017 | Common Stock | 50,000 | 0 | D |
| Employee Stock Option (Right to Buy)F4,F6,F5 | $30.025 | May 5, 2017 | M | 40,000 | D | Feb 19, 2010 | Feb 19, 2019 | Common Stock | 40,000 | 0 | D |
Explanation of responses
- F1Exercise of 47,215 non-qualified stock options and 2,785 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.
- F4Exercise of 36,670 non-qualified stock options and 3,330 incentive stock options exempt under Rule 16b-3.
- F5The options vested in three equal annual installments beginning on the date indicated.
- F6Price is not applicable to stock options received as incentive compensation.