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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) | $ 53.835 | 10/01/2008(5) | 10/01/2017 | Common Stock | 50,000 (6) | 50,000 (6) | D | ||||||||
Employee Stock Option (Right to Buy) | $ 30.025 | 02/19/2009(5) | 02/19/2019 | Common Stock | 40,000 (6) | 40,000 (6) | D | ||||||||
Employee Stock Option (Right to Buy) | $ 53.31 | 10/04/2011(5) | 10/04/2020 | Common Stock | 65,000 (6) | 65,000 (6) | D | ||||||||
Employee Stock Option (Right to Buy) | $ 65.07 | 10/01/2014(5) | 10/01/2023 | Common Stock | 60,000 (6) | 60,000 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MONSER EDWARD L C/O EMERSON ELECTRIC CO. 8000 W. FLORISSANT AVENUE ST. LOUIS, MO 63136 |
President |
/s/ John G. Shively Attorney-in-Fact for Edward L. Monser | 10/05/2015 | |
**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) | Shares withheld for required minimum taxes upon vesting of previously reported stock grant under shareholder approved benefit plan exempt pursuant to Rule 16b-3. |
(2) | Since the reporting person's last Form 4, he has transferred 132,948 shares of common stock to his ex-wife pursuant to a domestic relations order (DRO). In addition, since the reporting person's last Form 4, he has transferred the economic interests in 12,500 shares of restricted stock, previously reported as directly owned, to his ex-wife pursuant to the DRO. The reporting person disclaims beneficial ownership in all such transferred shares and restricted stock interests and no longer reports them as beneficially owned. |
(3) | Effective January 6, 2015 the reporting person transferred 50% of the shares of common stock held in his 401(k) plan account to his ex-wife pursuant to the DRO. |
(4) | Effective January 6, 2015, the reporting person transferred 50% of the economic interests in his 401(k) excess plan account pursuant to the DRO. The amount shown above represents the reporting person's retained 50% interest in such account. The reporting person disclaims beneficial ownership in the other 50% interest in the account and will no longer report such interest as beneficially owned. |
(5) | The options vest in three equal annual installments beginning on the date indicated. |
(6) | For each tranche, the balance is being updated to reflect the transfer of economic interest in an equal number of options to the reporting person's ex-wife pursuant to the terms of the DRO. The reporting person disclaims beneficial ownership in all such transferred options and will no longer report them as beneficially owned. |