-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PSqiS0jZ+Elx0i48b3Lo+ZcSIsPs3oMDwdEKHdft608VSAxN3RZaxOV28UAjdmbk VywFKoks1rATatie2I/nnw== 0001209191-06-059206.txt : 20061114 0001209191-06-059206.hdr.sgml : 20061114 20061114090931 ACCESSION NUMBER: 0001209191-06-059206 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061107 FILED AS OF DATE: 20061114 DATE AS OF CHANGE: 20061114 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EATON CORP CENTRAL INDEX KEY: 0000031277 STANDARD INDUSTRIAL CLASSIFICATION: MISC INDUSTRIAL & COMMERCIAL MACHINERY & EQUIPMENT [3590] IRS NUMBER: 340196300 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: EATON CTR STREET 2: 1111 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114-2584 BUSINESS PHONE: 2165235000 MAIL ADDRESS: STREET 1: 1111 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 FORMER COMPANY: FORMER CONFORMED NAME: EATON YALE & TOWNE INC DATE OF NAME CHANGE: 19710822 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Holder Richard D CENTRAL INDEX KEY: 0001360591 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-01396 FILM NUMBER: 061211515 BUSINESS ADDRESS: BUSINESS PHONE: 216.523.5000 MAIL ADDRESS: STREET 1: EATON CENTER STREET 2: 1111 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0202 4/A 2006-11-07 2006-11-09 0 0000031277 EATON CORP ETN 0001360591 Holder Richard D EATON CENTER 1111 SUPERIOR AVENUE CLEVELAND OH 44114 0 1 0 0 VP-Eaton Business System Common Shares 2006-11-07 4 M 0 7920 34.65 A 13320 D Common Shares 2006-11-07 4 M 0 16000 40.60 A 29320 D Common Shares 2006-11-07 4 S 0 9386 73.00 D 19934 D Common Shares 2006-11-07 4 S 0 2900 73.01 D 17034 D Common Shares 2006-11-07 4 S 0 800 73.02 D 16234 D Common Shares 2006-11-07 4 S 0 200 73.03 D 16034 D Common Shares 2006-11-07 4 S 0 7994 73.05 D 8040 D Common Shares 2006-11-07 4 F 0 1251 34.65 D 6789 D Common Shares 1820.687 I by trustee of ESP Stock Option 40.60 2006-11-07 4 M 0 16000 40.60 D 2003-02-26 2012-02-26 Common Shares 16000 0 D Stock Option 34.65 2006-11-07 4 M 0 7920 34.65 D 2004-02-25 2013-02-25 Common Shares 7920 80 D Certain of these shares represent restricted shares issued under an Eaton Corporation stock plan and are subject to risk of forfeiture. These shares were delivered to the issuer to pay for the applicable option exercise price. These shares are held in the Eaton Savings Plan. These options combined grants of Non-Qualified Stock Options and Incentive Stock Options. Thirty-five percent (35%) of the Non-Qualified Stock Options become exercisable on the first and second anniversaries of the date granted and thirty percent (30%) on the third anniversary of the date granted. The Incentive Stock Options are exercisable in their entirety three years from the date of grant. /s/ Claudia J. Taller as attorney-in-fact 2006-11-14 -----END PRIVACY-ENHANCED MESSAGE-----