Arnold Craig's Form 4 filing
Eaton Corp plc (ETN) · filed Nov 8, 2021
- Accession no.
- 0001104659-21-135793
- Filed
- Nov 8, 2021
- Trade date
- Nov 5, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $21.9M. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Arnold CraigCIK 0001188578 | Director, Officer (See Remarks below.) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Ordinary Shares | MOption exerciseAcquired | +1,391 | $71.89 | +$99,998.99 | 380,887 | Direct | |
| Nov 5, 2021 | Ordinary Shares | FTax withholdingDisposed | −577 | $173.13 | −$99,896.01 | 380,310 | Direct | |
| Nov 5, 2021 | Ordinary Shares | MOption exerciseAcquired | +127,559 | $71.89 | +$9,170,216.51 | 507,869 | Direct | |
| Nov 5, 2021 | Ordinary Shares | SSaleDisposed | −25,929 | $170.78F2 | −$4,428,154.62 | 481,940 | Direct | |
| Nov 5, 2021 | Ordinary Shares | SSaleDisposed | −82,432 | $171.32F3 | −$14,122,250.24 | 399,508 | Direct | |
| Nov 5, 2021 | Ordinary Shares | SSaleDisposed | −16,558 | $172.33F4 | −$2,853,440.14 | 382,950 | Direct | |
| Nov 5, 2021 | Ordinary Shares | SSaleDisposed | −2,640 | $173.20F5 | −$457,248 | 380,310 | Direct | |
| Nov 5, 2021 | Ordinary Shares | MOption exerciseAcquired | +1,220 | $81.96 | +$99,991.2 | 381,530 | Direct | |
| Nov 5, 2021 | Ordinary Shares | FTax withholdingDisposed | −577 | $173.27 | −$99,976.79 | 380,953 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Ordinary Shares | MOption exerciseDisposed | −1,391 | $0.00 | $0 | 127,559 | Direct | |
| Nov 5, 2021 | Ordinary Shares | MOption exerciseDisposed | −127,559 | $0.00 | $0 | 0 | Direct | |
| Nov 5, 2021 | Ordinary Shares | MOption exerciseDisposed | −1,220 | $0.00 | $0 | 116,330 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $170.32 - $170.995. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F3
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $171.00 - $171.995. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $172.01 - $172.95. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F5
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $173.03 - $173.36. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
Remarks
Chief Executive Officer of Eaton Corporation, a subsidiary of the Issuer.