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EMERSON ELECTRIC CO — Director's Dealing 2018
Aug 16, 2018
29929_dirs_2018-08-16_b5064412-4fac-4203-9ae4-7e5b247e095d.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: 2018-08-14
Reporting Person: DELLAQUILA FRANK J (Senior Exec. VP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-14 | Common Stock | M | 15000 | $30.025 | Acquired | 201643 | Direct |
| 2018-08-14 | Common Stock | F | 2708 | $73.835 | Disposed | 198935 | Direct |
| 2018-08-14 | Common Stock | F | 1502 | $73.835 | Disposed | 197433 | Direct |
| 2018-08-14 | Common Stock | M | 48437 | $53.31 | Acquired | 245870 | Direct |
| 2018-08-14 | Common Stock | F | 1353 | $73.835 | Disposed | 244517 | Direct |
| 2018-08-14 | Common Stock | F | 5870 | $73.835 | Disposed | 238647 | Direct |
| 2018-08-14 | Common Stock | S | 47530 | $73.9121 | Disposed | 191117 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-14 | Employee Stock Option (Right to Buy) | $30.025 | M | 15000 | Disposed | 2019-02-19 | Common Stock (15000) | Direct |
| 2018-08-14 | Employee Stock Option (Right to Buy) | $53.31 | M | 48437 | Disposed | 2020-10-04 | Common Stock (48437) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 8442 | Indirect |
| Common Stock | 242 | Indirect |
| Common Stock | 1148 | Indirect |
| Common Stock | 56486 | Indirect |
| Common Stock | 75315 | Indirect |
Footnotes
F1: Exercise of 8,340 non-qualified stock options and 6,660 incentive stock options exempt under Rule 16b-3.
F2: Payment of option exercise price by delivering securities.
F3: Shares withheld for taxes exempt under Rule 16b-3 resulting from non-qualified stock option exercise.
F4: Exercise of 46,562 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3.
F5: The 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.
F6: Grantor 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.
F7: Grantor 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.
F8: The options vested in three equal annual installments beginning on the date indicated.
F9: Price is not applicable to stock options received as incentive compensation.