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EMERSON ELECTRIC CO — Director's Dealing 2013
Nov 7, 2013
29929_dirs_2013-11-07_261f6ba0-c608-4185-8842-1bbff3d1b176.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EMERSON ELECTRIC CO (EMR)
CIK: 0000032604
Period of Report: 2013-11-05
Reporting Person: FARR DAVID N (Director, Chairman of Board & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-05 | Common Stock | A | 130697 | — | Acquired | 1432316 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-05 | Restricted Stock Units | $ | A | 167400 | Acquired | Common Stock (167400) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 323496 | Indirect |
| Common Stock | 54723 | Indirect |
| Common Stock | 54723 | Indirect |
| Common Stock | 8014.087 | Indirect |
| Common Stock | 28839.791 | Indirect |
Footnotes
F1: Acquisition of 130,697 shares pursuant to Rule 16b-3 upon payout of 60% (251,100 units) of earned performance share award under shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2013. Of these 251,100 units, 130,697 units were paid in shares of Issuer stock, with the remaining 120,403 units paid in cash to cover the reporting person's tax obligations.
F2: Price is not applicable to acquisitions described in Note 1 and Note 3.
F3: Acquisition of 167,400 restricted stock units pursuant to Rule 16b-3 upon payout of 40% of earned performance share award under shareholder-approved benefit plan described in Note 1. The restricted stock units are subject to a one-year vesting period.
F4: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.