SEC Form 4 · accession 0000950138-17-000832
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert T Sharp
Officer — Exec. Pres. Comm & Res. Sols.
Period of report
Dec 19, 2017
Accepted (ET)
Dec 21, 2017 · 10:34 am 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 | Dec 19, 2017 | M | 12,000 | $53.31 | A | 86,034 | D | |
| Common StockF2 | Dec 19, 2017 | F | 9,343 | $68.46 | D | 76,691 | D | |
| Common StockF3 | Dec 19, 2017 | F | 868 | $68.46 | D | 75,823 | D | |
| Common Stock | holding | — | — | — | 9 | I | Profit Sharing Plan | |
| Common Stock | holding | — | — | — | 350 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 689 | I | 401(k) 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 | $53.31 | Dec 19, 2017 | M | 12,000 | D | Oct 4, 2011 | Oct 4, 2020 | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1Exercise of 8,177 non-qualified stock options and 3,823 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.
- F4Options vested in three equal annual installments beginning on the date indicated.
- F5Price is not applicable to stock options received as incentive compensation.