-----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, Amdba+3gAGTD4xBwQURlH82uXA8TU7tJaz24VUR/yKH5kS1WyoyzMuNMEA6N7o2Y AyU3xMiktOhlH9r23uMzdA== 0000950138-07-000965.txt : 20071127 0000950138-07-000965.hdr.sgml : 20071127 20071127170539 ACCESSION NUMBER: 0000950138-07-000965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071123 FILED AS OF DATE: 20071127 DATE AS OF CHANGE: 20071127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMERSON ELECTRIC CO CENTRAL INDEX KEY: 0000032604 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] IRS NUMBER: 430259330 STATE OF INCORPORATION: MO FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 8000 W FLORISSANT AVE STREET 2: P O BOX 4100 CITY: ST LOUIS STATE: MO ZIP: 63136 BUSINESS PHONE: 3145532000 MAIL ADDRESS: STREET 1: 8000 W. FLORISSANT STREET 2: P.O. BOX 4100 CITY: ST LOUIS STATE: MO ZIP: 63136 FORMER COMPANY: FORMER CONFORMED NAME: EMERSON ELECTRIC MANUFACTUING CO DATE OF NAME CHANGE: 19730710 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GALVIN WALTER J CENTRAL INDEX KEY: 0001183476 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00278 FILM NUMBER: 071269426 BUSINESS ADDRESS: STREET 1: EMERSON ELECTRIC CO. STREET 2: 8000 W. FLORISSANT CITY: ST. LOUIS STATE: MO ZIP: 63136 BUSINESS PHONE: 3145532431 4 1 form4_112607ex.xml X0202 4 2007-11-23 0 0000032604 EMERSON ELECTRIC CO EMR 0001183476 GALVIN WALTER J C/O EMERSON ELECTRIC CO. 8000 W. FLORISSANT AVE. ST. LOUIS MO 63136 1 1 0 0 Sr. Exec. VP & CFO Common Stock 2007-11-23 5 J 0 11176 D 48812 I W. J. Galvin Family Limited Partnership Common Stock 2007-11-23 5 J 0 11176 A 88228 I Spouse Common Stock 2007-11-23 5 J 0 48812 D 0 I W. J. Galvin Family Limited Partnership Common Stock 2007-11-23 5 J 0 48812 A 48812 I Galvin Family Trust Common Stock 2007-11-23 5 J 0 48812 D 0 I Galvin Family Trust Common Stock 2007-11-23 5 J 0 48812 A 299114 D Common Stock 2007-11-26 5 G 0 41176 D 47052 I Spouse Common Stock 2007-11-26 5 G 0 41176 A 340290 D Common Stock 2007-11-26 4 M 0 29574 32.0313 A 369864 D Common Stock 2007-11-26 4 F 0 17385 54.485 D 352479 D Common Stock 2007-11-26 4 F 0 3536 54.485 D 348943 D Common Stock 2007-11-26 4 M 0 28636 21.2813 A 377579 D Common Stock 2007-11-26 4 F 0 11184 54.485 D 366395 D Common Stock 2007-11-26 4 F 0 7407 54.485 D 358988 D Common Stock 3226 I Trust-Daughter Megan Common Stock 3226 I Trust-Son Greg Common Stock 3226 I Trust-Son Jeff Common Stock 14831.277 I 401(k) plan Common Stock 7369.32 I 401(k) excess plan Employee Stock Option (Right to Buy) 32.0313 2007-11-26 4 M 0 29574 D 2000-10-04 2009-10-04 Common Stock 29574 0 D Employee Stock Option (Right to Buy) 21.2813 2007-11-26 4 M 0 28636 D 2001-10-06 2010-03-06 Common Stock 28636 38034 D Transfer for estate planning purposes from the W.J. Galvin Family Partnership to the Reporting Person's spouse pursuant to Rule 16a-13 and Rule 16b-5 in liquidation of the Reporting Person's spouse's ownership interest in the W.J. Galvin Family Partnership. Price is not applicable to this transaction. The Reporting Person's spouse is the controlling partner of the W. J. Galvin Family Partnership. Transfer for estate planning purposes from the W.J. Galvin Family Partnership to the Galvin Family Trust pursuant to Rule 16a-13 and Rule 16b-5. The Reporting Person and his spouse are the trustees of the Galvin Family Trust. Transfer for estate planning purposes from the Galvin Family Trust to the Reporting Person pursuant to Rule 16a-13 and Rule 16b-5 in satisfaction of a $2.9 million note held by the Reporting Person. Bona fide gift by the Reporting Person's spouse of 41,176 shares to the Reporting Person. Price is not applicable to acquisitions or dispositions resulting from bona fide gifts. Exercise of 9,360 incentive stock options and 20,214 non-qualified stock options exempt under Rule 16b-3. Payment of option exercise price by delivering securities. Shares withheld for taxes exempt under Rule 16b-3 resulting from non-qualified stock option exercise. Exercise of non-qualifed stock options exempt under Rule 16b-3. The Reporting Person disclaims beneficial ownership. Options vested as follows: 3,120 shares on 10/4/2000; 3,120 shares on 10/4/2001; and 23,334 shares on 10/4/2002. As previously reported in the Reporting Person's Form 4 filed on 9/21/2007, when taken together with other options having the same grant date, exercise price and expiration date, but owned indirectly by the W.J. Galvin Family Partnership and previously exercised, all such options together vested in three equal annual installments beginning on 10/4/2000. Price is not applicable to stock options received as incentive compensation. The exercised options vested on 10/6/2002. The remaining balance vested as follows: 2 shares on 10/6/2001; 4,698 shares on 10/6/2002; and 33,334 shares on 10/6/2003. As previously reported in the Reporting Person's Form 4 filed on 9/21/2007, when taken together with other options having the same grant date, exercise price and expiration date, but owned indirectly by the W.J. Galvin Family Partnership and previously exercised, all such options together vested in three equal annual installments beginning on 10/6/2001. /s/ Timothy G. Westman, Attorney-in-fact for Walter J. Galvin 2007-11-27 -----END PRIVACY-ENHANCED MESSAGE-----