Yadav Uday's Form 4 filing
Eaton Corp plc (ETN) · filed Nov 10, 2021
- Accession no.
- 0001104659-21-136791
- Filed
- Nov 10, 2021
- Trade date
- Nov 9, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $8.64M. It was filed 1 day 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 |
|---|---|
| Yadav UdayCIK 0001479938 | 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 9, 2021 | Ordinary Shares | MOption exerciseAcquired | +24,830 | $81.96 | +$2,035,066.8 | 48,538 | Direct | |
| Nov 9, 2021 | Ordinary Shares | SSaleDisposed | −24,830 | $174.31F1 | −$4,328,117.3 | 23,708 | Direct | |
| Nov 9, 2021 | Ordinary Shares | MOption exerciseAcquired | +24,750 | $80.49 | +$1,992,127.5 | 48,458 | Direct | |
| Nov 9, 2021 | Ordinary Shares | SSaleDisposed | −24,750 | $174.33F2 | −$4,314,667.5 | 23,708 | 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 9, 2021 | Ordinary Shares | MOption exerciseDisposed | −24,830 | $0.00 | $0 | 0 | Direct | |
| Nov 9, 2021 | Ordinary Shares | MOption exerciseDisposed | −24,750 | $0.00 | $0 | 12,750 | 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.
- F1
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $174.06 - $174.48. 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.
- F2
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $173.975 - $174.68. 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
President and Chief Operating Officer - Electrical Sector of Eaton Corporation, a subsidiary of the Issuer.