SEC Form 4 · accession 0000950138-19-000085
EMERSON ELECTRIC CO · EMR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David N Farr
Officer — Chairman of Board & CEO · Director
Period of report
Feb 11, 2019
Accepted (ET)
Feb 12, 2019 · 4:03 pm 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 | Feb 11, 2019 | M | 28,137 | $53.31 | A | 1,900,903 | D | |
| Common StockF2 | Feb 11, 2019 | F | 1,719 | $66.795 | D | 1,899,184 | D | |
| Common StockF3,F4 | Feb 11, 2019 | G | 13,209 | — | D | 1,885,975 | D | |
| Common StockF3,F4 | Feb 11, 2019 | G | 13,209 | — | A | 415,010 | I | Spouse |
| Common Stock | holding | — | — | — | 59,723 | I | Trust-Daughter | |
| Common Stock | holding | — | — | — | 69,723 | I | Trust-Son | |
| Common Stock | holding | — | — | — | 10,177 | I | 401(k) plan | |
| Common Stock | holding | — | — | — | 41,914 | 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)F6,F5 | $53.31 | Feb 11, 2019 | M | 28,137 | D | Oct 4, 2011 | Oct 4, 2020 | Common Stock | 28,137 | 221,863 | D |
Explanation of responses
- F1Exercise of 28,137 non-qualified stock options exempt under Rule 16b-3.
- F2Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.
- F3Bona fide gift by the Reporting Person of 13,209 shares to a revocable trust for the benefit of the Reporting Person's spouse.
- F4Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.
- F5When taken together with unexercised options having the same grant date, exercise price, and expiration date, all such options together vested in three equal annual installments beginning on the date indicated.
- F6Price is not applicable to stock options received as incentive compensation.