SEC Form 4 · accession 0000950138-18-000360
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
May 10, 2018
Accepted (ET)
May 11, 2018 · 4:15 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 10, 2018 | M | 5,000 | $48.30 | A | 149,491 | D | |
| Common StockF2 | May 10, 2018 | F | 3,365 | $71.74 | D | 146,126 | D | |
| Common StockF3 | May 10, 2018 | F | 334 | $71.74 | D | 145,792 | D | |
| Common Stock | holding | — | — | — | 709 | I | Profit Sharing Plan | |
| Common Stock | holding | — | — | — | 9,779 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 716 | 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 | $48.30 | May 10, 2018 | M | 5,000 | D | Aug 4, 2009 | Aug 4, 2018 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Exercise of 3,333 non-qualified stock options and 1,667 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.