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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 | 08/14/2018 | M(1) | 15,000 (1) | 02/19/2010(8) | 02/19/2019 | Common Stock | 15,000 | (9) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 53.31 | 08/14/2018 | M(4) | 48,437 (4) | 10/04/2011(8) | 10/04/2020 | Common Stock | 48,437 | (9) | 46,563 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DELLAQUILA FRANK J C/O EMERSON ELECTRIC CO. 8000 W. FLORISSANT AVENUE ST. LOUIS, MO 63136 |
Senior Exec. VP and CFO |
/s/ John A. Sperino, as Attorney-in-Fact for Frank J. Dellaquila | 08/16/2018 | |
**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 8,340 non-qualified stock options and 6,660 incentive stock options exempt under Rule 16b-3. |
(2) | Payment of option exercise price by delivering securities. |
(3) | Shares withheld for taxes exempt under Rule 16b-3 resulting from non-qualified stock option exercise. |
(4) | Exercise of 46,562 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3. |
(5) | 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. |
(6) | 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. |
(7) | 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. |
(8) | The options vested in three equal annual installments beginning on the date indicated. |
(9) | Price is not applicable to stock options received as incentive compensation. |