SEC Form 4
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | ||
Washington, D.C. 20549 | OMB APPROVAL | |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | ||
OMB Number: | 3235-0287 | |
Estimated average burden | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 | hours per response: | 0.5 |
or Section 30(h) of the Investment Company Act of 1940 |
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||||||||||||||||||||||||||||||||||
CHERUVATATH NANDAKUMAR | Eaton Corp plc[ ETN ] | (Check all applicable) | ||||||||||||||||||||||||||||||||||
Director | 10% Owner | |||||||||||||||||||||||||||||||||||
X | Officer (give title | Other (specify | ||||||||||||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) | below) | below) | ||||||||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | ||||||||||||||||||||||||||||||||||
02/25/2020 | See Remarks below. | |||||||||||||||||||||||||||||||||||
1000 EATON BLVD. | ||||||||||||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | |||||||||||||||||||||||||||||||||||
(Street) | Line) | |||||||||||||||||||||||||||||||||||
CLEVELAND OH | 44122 | X Form filed by One Reporting Person | ||||||||||||||||||||||||||||||||||
Form filed by More than One Reporting | ||||||||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | Person | |||||||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature of | |||||||||||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 and 5) | Securities | Form: Direct | Indirect | ||||||||||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | Beneficially | (D) or Indirect | Beneficial | |||||||||||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | ||||||||||||||||||||||||||||||||
Reported | (Instr. 4) | |||||||||||||||||||||||||||||||||||
Code | V | Amount | (A) or | Price | Transaction(s) | |||||||||||||||||||||||||||||||
(D) | (Instr. 3 and 4) | |||||||||||||||||||||||||||||||||||
Ordinary Shares | 02/26/2020 | A | 4,170(1) | A | $0 | 16,650 | D | |||||||||||||||||||||||||||||
Ordinary Shares | 02/26/2020 | M | 1,029 | A | $0 | 17,679 | D | |||||||||||||||||||||||||||||
Ordinary Shares | 02/26/2020 | F | 356 | D | $98.16 | 17,323 | D | |||||||||||||||||||||||||||||
Ordinary Shares | 1,911.49 | I | by trustee | |||||||||||||||||||||||||||||||||
of ESP | ||||||||||||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number of | 6. Date Exercisable and | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | Derivative | Expiration Date | Amount of | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Securities | (Month/Day/Year) | Securities | Security | Securities | Form: | Beneficial | |||||||||||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Acquired (A) | Underlying | (Instr. 5) | Beneficially | Direct (D) | Ownership | |||||||||||||||||||||||||||
Derivative | or Disposed | Derivative Security | Owned | or Indirect | (Instr. 4) | |||||||||||||||||||||||||||||||
Security | of (D) (Instr. 3, | (Instr. 3 and 4) | Following | (I) (Instr. 4) | ||||||||||||||||||||||||||||||||
4 and 5) | Reported | |||||||||||||||||||||||||||||||||||
Transaction(s) | ||||||||||||||||||||||||||||||||||||
Amount | (Instr. 4) | |||||||||||||||||||||||||||||||||||
or | ||||||||||||||||||||||||||||||||||||
Number | ||||||||||||||||||||||||||||||||||||
Date | Expiration | of | ||||||||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares | |||||||||||||||||||||||||||||
Restricted | 02/25/2021(2) | (3) | Ordinary | 2,310 | ||||||||||||||||||||||||||||||||
Stock | $0.0 | 02/25/2020 | A | 2,310 | $0 | 2,310 | D | |||||||||||||||||||||||||||||
Shares | ||||||||||||||||||||||||||||||||||||
Units | ||||||||||||||||||||||||||||||||||||
Stock | $98.21 | 02/25/2020 | A | 15,000 | 02/25/2021(4) | 02/25/2030 | Ordinary | 15,000 | $0 | 15,000 | D | |||||||||||||||||||||||||
Option | Shares | |||||||||||||||||||||||||||||||||||
Restricted | (3) | Ordinary | 1,029 | |||||||||||||||||||||||||||||||||
Stock | $0.0 | 02/26/2020 | M | 1,029 | 02/26/2020 | $0 | 2,091 | D | ||||||||||||||||||||||||||||
Shares | ||||||||||||||||||||||||||||||||||||
Units | ||||||||||||||||||||||||||||||||||||
Explanation of Responses:
- These shares were acquired upon the vesting of certain performance share awards.
- These restricted stock units were granted on February 25, 2020 and vest as follows: 33% on the first and second anniversary of the grant date and the remaining 34% on the third anniversary of the grant date.
- This field is not applicable.
- These stock options become exercisable as follows: 33% on the first and second anniversary of the date of the grant and the remaining 34% on the third anniversary of the date of the grant.
Remarks:
President - Aerospace Group of Eaton Corporation, a subsidiary of the Issuer.
/s/ Lizbeth L. Wright, as | 02/27/2020 | |
Attorney-in-Fact | ||
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
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Disclaimer
Eaton Corporation plc published this content on 27 February 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 27 February 2020 23:20:02 UTC