SEC Form 4 · accession 0000950138-18-000514
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
Aug 29, 2018
Accepted (ET)
Aug 31, 2018 · 8:33 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 | Aug 29, 2018 | M | 12,000 | $30.025 | A | 133,626 | D | |
| Common StockF2 | Aug 29, 2018 | F | 4,704 | $76.58 | D | 128,922 | D | |
| Common StockF3 | Aug 29, 2018 | F | 1,493 | $76.58 | D | 127,429 | D | |
| Common Stock | holding | — | — | — | 714 | I | Profit Sharing Plan | |
| Common Stock | holding | — | — | — | 9,844 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 772 | 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 | $30.025 | Aug 29, 2018 | M | 12,000 | D | Feb 19, 2010 | Feb 19, 2019 | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1Exercise of 8,022 non-qualified stock options and 3,978 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.