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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 30.025 | 12/06/2017 | M(1) | 3,200 (1) | 02/09/2010(5) | 02/09/2019 | Common Stock | 3,200 | (6) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 53.31 | 12/06/2017 | M(7) | 2,621 (7) | 10/04/2011(8) | 10/04/2020 | Common Stock | 2,621 | (6) | 12,379 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pelch Steven J. C/O EMERSON ELECTRIC CO. 8000 W. FLORISSANT AVENUE ST. LOUIS, MO 63136 |
Exec VP - Org. Planning & Dev. |
/s/ John G. Shively, Attorney-in-Fact for Steven J. Pelch | 12/08/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Exercise of 2,666 non-qualified stock options and 534 incentive stock options exempt under Rule 16b-3. |
(2) | Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise. |
(3) | Payment of option exercise price by delivering securities. |
(4) | 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. |
(5) | 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. |
(6) | Price is not applicable to stock options received as incentive compensation. |
(7) | Exercise of 2,621 incentive stock options exempt under Rule 16b-3. |
(8) | Options vested in three equal annual installments beginning on the date indicated. |
(9) | Bona fide gift by the Reporting Person of 750 shares to the Emerson Directors' and Officers' Charitable Trust. |
(10) | Price is not applicable to acquisitions or dispositions resulting from bona fide gifts. |