SEC Form 4 · accession 0000950138-18-000508
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank J Dellaquila
Officer — Senior Exec. VP and CFO
Period of report
Aug 14, 2018
Accepted (ET)
Aug 16, 2018 · 4:25 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 | Aug 14, 2018 | M | 15,000 | $30.025 | A | 201,643 | D | |
| Common StockF2 | Aug 14, 2018 | F | 2,708 | $73.835 | D | 198,935 | D | |
| Common StockF3 | Aug 14, 2018 | F | 1,502 | $73.835 | D | 197,433 | D | |
| Common StockF4 | Aug 14, 2018 | M | 48,437 | $53.31 | A | 245,870 | D | |
| Common StockF2 | Aug 14, 2018 | F | 1,353 | $73.835 | D | 244,517 | D | |
| Common StockF3 | Aug 14, 2018 | F | 5,870 | $73.835 | D | 238,647 | D | |
| Common StockF5 | Aug 14, 2018 | S | 47,530 | $73.9121 | D | 191,117 | D | |
| Common Stock | holding | — | — | — | 8,442 | I | Spouse | |
| Common Stock | holding | — | — | — | 242 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 1,148 | I | 401(k) excess plan | |
| Common StockF6 | holding | — | — | — | 56,486 | I | FJD 2012 Gift Trust | |
| Common StockF7 | holding | — | — | — | 75,315 | I | SRD 2012 Gift Trust |
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,F9,F8 | $30.025 | Aug 14, 2018 | M | 15,000 | D | Feb 19, 2010 | Feb 19, 2019 | Common Stock | 15,000 | 0 | D |
| Employee Stock Option (Right to Buy)F4,F9,F8 | $53.31 | Aug 14, 2018 | M | 48,437 | D | Oct 4, 2011 | Oct 4, 2020 | Common Stock | 48,437 | 46,563 | D |
Explanation of responses
- F1Exercise of 8,340 non-qualified stock options and 6,660 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 non-qualified stock option exercise.
- F4Exercise of 46,562 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3.
- F5The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.66 to $74.08. The reporting person undertakes to provide Emerson Electric Co., any securityholder of Emerson Electric Co. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- F6Grantor trust for the Reporting Person with the Reporting Person's spouse and descendants as its beneficiaries. The Reporting Person is the trustee of The FJD 2012 Gift Trust.
- F7Grantor trust for the Reporting Person's spouse with the Reporting Person's descendants as its beneficiaries. The Reporting Person and the Reporting Person's spouse are co-trustees of The SRD 2012 Gift Trust.
- F8The options vested in three equal annual installments beginning on the date indicated.
- F9Price is not applicable to stock options received as incentive compensation.