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EMERSON ELECTRIC CO — Director's Dealing 2017
Dec 8, 2017
29929_dirs_2017-12-08_871ed828-1f57-4276-a203-364f4355ef10.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: 2017-12-06
Reporting Person: Pelch Steven J. (Exec VP - Org. Planning & Dev.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-06 | Common Stock | M | 3200 | $30.025 | Acquired | 73808 | Direct |
| 2017-12-06 | Common Stock | F | 688 | $64.955 | Disposed | 73120 | Direct |
| 2017-12-06 | Common Stock | F | 246 | $64.965 | Disposed | 72874 | Direct |
| 2017-12-06 | Common Stock | S | 1978 | $65.2472 | Disposed | 70896 | Direct |
| 2017-12-06 | Common Stock | M | 2621 | $53.31 | Acquired | 73517 | Direct |
| 2017-12-06 | Common Stock | F | 2150 | $64.965 | Disposed | 71367 | Direct |
| 2017-12-06 | Common Stock | G | 750 | — | Disposed | 70617 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-06 | Employee Stock Option (Right to Buy) | $30.025 | M | 3200 | Disposed | 2019-02-09 | Common Stock (3200) | Direct |
| 2017-12-06 | Employee Stock Option (Right to Buy) | $53.31 | M | 2621 | Disposed | 2020-10-04 | Common Stock (2621) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1353.832 | Indirect |
| Common Stock | 1555.009 | Indirect |
Footnotes
F1: Exercise of 2,666 non-qualified stock options and 534 incentive stock options exempt under Rule 16b-3.
F2: Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.
F3: Payment of option exercise price by delivering securities.
F4: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.2471 to $65.25. 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.
F5: When taken together with previously exercised options and the unexercised options reported in this Form 4 all 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.
F6: Price is not applicable to stock options received as incentive compensation.
F7: Exercise of 2,621 incentive stock options exempt under Rule 16b-3.
F8: Options vested in three equal annual installments beginning on the date indicated.
F9: Bona fide gift by the Reporting Person of 750 shares to the Emerson Directors' and Officers' Charitable Trust.
F10: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.