EMR

SEC source: 0000950138-21-000097 · edgar.xml · nonDerivative · entry 1

Craighead Martin S · CIK 0001319699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,435

F1 · kind: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F1 · shares: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F2 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-21-000099 · edgar.xml · nonDerivative · entry 1

EASTER WILLIAM H III · CIK 0001275630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,120

F1 · kind: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F1 · shares: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F2 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-21-000095 · edgar.xml · nonDerivative · entry 1

BOLTEN JOSHUA B. · CIK 0001541370 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,362

F1 · kind: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F1 · shares: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F2 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-21-000091 · edgar.xml · nonDerivative · entry 1

BLINN MARK A · CIK 0001129149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,230

F1 · kind: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F1 · shares: Grant to Reporting Person of 1,787 shares of restricted stock having a fair market value of $83.905 per share on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F2 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-21-000093 · edgar.xml · nonDerivative · entry 1

BOERSIG CLEMENS A H · CIK 0001455223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,330

F1 · kind: Grant to Reporting Person of 1,787 restricted stock units having a fair market value of $83.905 per unit on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F1 · shares: Grant to Reporting Person of 1,787 restricted stock units having a fair market value of $83.905 per unit on the date of grant under shareholder approved benefit plan pursuant to Rule 16b-3(d).

F2 · price: Price is not applicable to acquisitions resulting from grants of restricted stock units.

SEC source: 0000950138-20-000535 · edgar.xml · nonDerivative · entry 2

Bosco Sara Yang · CIK 0001673670 · Sr. VP, Secy and Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,557

F1 · kind: Bona fide gift by Reporting Person of 180 shares to her children.

F1 · shares: Bona fide gift by Reporting Person of 180 shares to her children.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000535 · edgar.xml · nonDerivative · entry 1

Bosco Sara Yang · CIK 0001673670 · Sr. VP, Secy and Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,737

F1 · kind: Bona fide gift by Reporting Person of 180 shares to her children.

F1 · shares: Bona fide gift by Reporting Person of 180 shares to her children.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000494 · edgar.xml · nonDerivative · entry 2

Karsanbhai Surendralal Lanca · CIK 0001754881 · Exec Pres Auto Sols

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 30,829.03

F1 · kind: Bona fide gift by Reporting Person of 7,700 shares to a revocable trust of which the Reporting Person and the Reporting Person's Spouse are co-trustees.

F1 · shares: Bona fide gift by Reporting Person of 7,700 shares to a revocable trust of which the Reporting Person and the Reporting Person's Spouse are co-trustees.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000494 · edgar.xml · nonDerivative · entry 1

Karsanbhai Surendralal Lanca · CIK 0001754881 · Exec Pres Auto Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: Bona fide gift by Reporting Person of 7,700 shares to a revocable trust of which the Reporting Person and the Reporting Person's Spouse are co-trustees.

F1 · shares: Bona fide gift by Reporting Person of 7,700 shares to a revocable trust of which the Reporting Person and the Reporting Person's Spouse are co-trustees.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000496 · edgar.xml · nonDerivative · entry 1

Bulanda Mark J · CIK 0001687308 · Sr. VP Planning & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,083

F1 · kind: Bona fide gift by the Reporting Person of 1,630 shares to a charitable trust.

F1 · shares: Bona fide gift by the Reporting Person of 1,630 shares to a charitable trust.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000517 · edgar.xml · nonDerivative · entry 1

Pelch Steven J. · CIK 0001596211 · COO & Exec VP Org Plan & Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,567

F1 · kind: Bona fide gift by the Reporting Person of 1,500 shares to the Emerson Directors' and Officers' Charitable Trust.

F1 · shares: Bona fide gift by the Reporting Person of 1,500 shares to the Emerson Directors' and Officers' Charitable Trust.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000491 · edgar.xml · nonDerivative · entry 2

DELLAQUILA FRANK J · CIK 0001470848 · Senior Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,340

F3 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.91 to $78.93. The Reporting Person undertakes to provide Emerson Electric Co., any securityholder of Emerson Electric Co. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

SEC source: 0000950138-20-000491 · edgar.xml · nonDerivative · entry 1

DELLAQUILA FRANK J · CIK 0001470848 · Senior Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,340

F1 · kind: Bona fide gift by the Reporting Person of 1,500 shares to the Emerson Directors' and Officers' Charitable Trust.

F1 · shares: Bona fide gift by the Reporting Person of 1,500 shares to the Emerson Directors' and Officers' Charitable Trust.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000489 · edgar.xml · derivative · entry 5

Bosco Sara Yang · CIK 0001673670 · Sr. VP, Secy and Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2025-11-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 4,070 incentive stock options and 7,930 non-qualified stock options exempt under Rule 16b-3.

F3 · price: Price is not applicable to stock options received as incentive compensation.

F2 · derivative.exercise_date: The options vested in three equal annual installments beginning on the date indicated.

SEC source: 0000950138-20-000489 · edgar.xml · nonDerivative · entry 2

Bosco Sara Yang · CIK 0001673670 · Sr. VP, Secy and Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,917

SEC source: 0000950138-20-000489 · edgar.xml · nonDerivative · entry 1

Bosco Sara Yang · CIK 0001673670 · Sr. VP, Secy and Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,917

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 4,070 incentive stock options and 7,930 non-qualified stock options exempt under Rule 16b-3.

F1 · shares: Exercise of 4,070 incentive stock options and 7,930 non-qualified stock options exempt under Rule 16b-3.

SEC source: 0000950138-20-000487 · edgar.xml · nonDerivative · entry 1

Froedge James · CIK 0001823357 · Exec. Pres Comm & Res Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,450

F1 · kind: Bona fide gift by the Reporting Person of 320 shares to a charitable trust.

F1 · shares: Bona fide gift by the Reporting Person of 320 shares to a charitable trust.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000472 · edgar.xml · nonDerivative · entry 1

Button Bell Katherine · CIK 0001687262 · Sr. VP & Chief Marketing Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,509

F1 · kind: Bona Fide gift by Reporting Person of 232 shares to the United Way.

F1 · shares: Bona Fide gift by Reporting Person of 232 shares to the United Way.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000462 · edgar.xml · nonDerivative · entry 1

Froedge James · CIK 0001823357 · Exec. Pres Comm & Res Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,770

F1 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.40 to $77.425. The Reporting Person undertakes to provide Emerson Electric Co., any securityholder of Emerson Electric Co. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

SEC source: 0000950138-20-000448 · edgar.xml · nonDerivative · entry 1

Pelch Steven J. · CIK 0001596211 · COO & Exec VP Org Plan & Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,067

F1 · kind: Acquisition of 23,100 shares pursuant to Rule 16b-3 upon payout of 42,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 42,000 units, 23,100 units were paid in shares of Issuer stock, with the remaining 18,900 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000450 · edgar.xml · nonDerivative · entry 1

Train Michael H. · CIK 0001686963 · Pres & Chair Aut Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,890

F1 · kind: Acquisition of 19,250 shares pursuant to Rule 16b-3 upon payout of 35,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 35,000 units, 19,250 units were paid in shares of Issuer stock, with the remaining 15,750 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000446 · edgar.xml · nonDerivative · entry 2

Karsanbhai Surendralal Lanca · CIK 0001754881 · Exec Pres Auto Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,700

F3 · kind: Grant of restricted stock under shareholder approved benefit plan exempt pursuant to Rule 16b-3(d).

F3 · shares: Grant of restricted stock under shareholder approved benefit plan exempt pursuant to Rule 16b-3(d).

F4 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-20-000446 · edgar.xml · nonDerivative · entry 1

Karsanbhai Surendralal Lanca · CIK 0001754881 · Exec Pres Auto Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,700

F1 · kind: Acquisition of 7,700 shares pursuant to Rule 16b-3 upon payout of 14,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 14,000 units, 7,700 units were paid in shares of Issuer stock, with the remaining 6,300 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000444 · edgar.xml · nonDerivative · entry 2

Froedge James · CIK 0001823357 · Exec. Pres Comm & Res Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,310

F3 · kind: Grant of restricted stock under shareholder approved benefit plan exempt pursuant to Rule 16b-3(d).

F3 · shares: Grant of restricted stock under shareholder approved benefit plan exempt pursuant to Rule 16b-3(d).

F4 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-20-000444 · edgar.xml · nonDerivative · entry 1

Froedge James · CIK 0001823357 · Exec. Pres Comm & Res Sols

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,310

F1 · kind: Acquisition of 6,875 shares pursuant to Rule 16b-3 upon payout of 12,500 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 12,500 units, 6,875 units were paid in shares of Issuer stock, with the remaining 5,625 units paid in cash to cover the reporting person's tax obligations.

F1 · shares: Acquisition of 6,875 shares pursuant to Rule 16b-3 upon payout of 12,500 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 12,500 units, 6,875 units were paid in shares of Issuer stock, with the remaining 5,625 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000442 · edgar.xml · nonDerivative · entry 1

DELLAQUILA FRANK J · CIK 0001470848 · Senior Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,840

F1 · kind: Acquisition of 23,100 shares pursuant to Rule 16b-3 upon payout of 42,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 42,000 units, 23,100 units were paid in shares of Issuer stock, with the remaining 18,900 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000440 · edgar.xml · nonDerivative · entry 1

Button Bell Katherine · CIK 0001687262 · Sr. VP & Chief Marketing Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,741

F1 · kind: Acquisition of 11,000 shares pursuant to Rule 16b-3 upon payout of 20,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 20,000 units, 11,000 units were paid in shares of Issuer stock, with the remaining 9,000 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000438 · edgar.xml · nonDerivative · entry 1

Bulanda Mark J · CIK 0001687308 · Sr. VP Planning & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,713

F1 · kind: Acquisition of 16,500 shares pursuant to Rule 16b-3 upon payout of 30,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 30,000 units, 16,500 units were paid in shares of Issuer stock, with the remaining 13,500 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to the acquisitions described in Note 1.

SEC source: 0000950138-20-000436 · edgar.xml · nonDerivative · entry 1

Bosco Sara Yang · CIK 0001673670 · Sr. VP, Secy and Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,917

F1 · kind: Acquisition of 16,500 shares pursuant to Rule 16b-3 upon payout of 30,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 30,000 units, 16,500 units were paid in shares of Issuer stock, with the remaining 13,500 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to acquisitions described in Note 1.

SEC source: 0000950138-20-000434 · edgar.xml · nonDerivative · entry 1

Baughman Michael J · CIK 0001363092 · VP, Acct'g., Contr. & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,900

F1 · kind: Acquisition of 7,150 shares pursuant to Rule 16b-3 upon payout of 13,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 13,000 units, 7,150 units were paid in shares of Issuer stock, with the remaining 5,850 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to the acquisitions described in Note 1.

SEC source: 0000950138-20-000432 · edgar.xml · nonDerivative · entry 1

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,079,875

F1 · kind: Acquisition of 95,150 shares pursuant to Rule 16b-3 upon payout of 173,000 earned units under a performance share award under a shareholder-approved benefit plan. The payout was based on the level of achievement of financial targets for the performance period ended September 30, 2020. Of these 173,000 units, 95,150 units were paid in shares of Issuer stock, with the remaining 77,850 units paid in cash to cover the reporting person's tax obligations.

F2 · price: Price is not applicable to the acquisitions described in Note 1.

SEC source: 0000950138-20-000423 · edgar.xml · nonDerivative · entry 1

Baughman Michael J · CIK 0001363092 · VP, Acct'g., Contr. & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,750

F1 · kind: Shares withheld for required minimum taxes upon vesting of previously reported stock grant under shareholder approved benefit plan exempt pursuant to Rule 16b-3.

F1 · shares: Shares withheld for required minimum taxes upon vesting of previously reported stock grant under shareholder approved benefit plan exempt pursuant to Rule 16b-3.

F2 · price: Fair market value on date of the vesting described in Note 1.

F3 · balance_after: Includes 507 shares acquired under a dividend reinvestment plan since the Reporting Person's last Form 4 filing.

SEC source: 0000950138-20-000403 · edgar.xml · nonDerivative · entry 1

EASTER WILLIAM H III · CIK 0001275630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,333

F1 · kind: Grant to Reporting Person of 733 shares of restricted stock having a fair market value of $68.15 per share on the date of the grant under shareholder approved benefit plan pursuant to Rule 16b-3(d) in connection with annual retainer paid to all non-management directors.

F1 · shares: Grant to Reporting Person of 733 shares of restricted stock having a fair market value of $68.15 per share on the date of the grant under shareholder approved benefit plan pursuant to Rule 16b-3(d) in connection with annual retainer paid to all non-management directors.

F2 · price: Price is not applicable to acquisitions resulting from grants of restricted stock.

SEC source: 0000950138-20-000388 · edgar.xml · derivative · entry 6

Bulanda Mark J · CIK 0001687308 · Sr. VP Planning & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2020-10-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 8,177 non-qualified and 3,823 incentive stock options exempt under Rule 16b-3.

F5 · price: Price is not applicable to stock options received as incentive compensation.

F4 · derivative.exercise_date: The options vested in three equal annual installments beginning on the date indicated.

SEC source: 0000950138-20-000388 · edgar.xml · nonDerivative · entry 3

Bulanda Mark J · CIK 0001687308 · Sr. VP Planning & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,213

F3 · kind: Payment of option exercise price by delivering securities.

F3 · shares: Payment of option exercise price by delivering securities.

SEC source: 0000950138-20-000388 · edgar.xml · nonDerivative · entry 2

Bulanda Mark J · CIK 0001687308 · Sr. VP Planning & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,933

F2 · kind: Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.

F2 · shares: Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.

SEC source: 0000950138-20-000388 · edgar.xml · nonDerivative · entry 1

Bulanda Mark J · CIK 0001687308 · Sr. VP Planning & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,396

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 8,177 non-qualified and 3,823 incentive stock options exempt under Rule 16b-3.

F1 · shares: Exercise of 8,177 non-qualified and 3,823 incentive stock options exempt under Rule 16b-3.

SEC source: 0000950138-20-000384 · edgar.xml · derivative · entry 10

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 77,783 shares

Expires 2020-10-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 77,783 non-qualified stock options exempt under Rule 16b-3.

F7 · price: Price is not applicable to stock options received as incentive compensation.

F6 · derivative.exercise_date: When taken together with previously exercised options having the same grant date, exercise price, and expiration date, all such options together vested in three equal annual installments beginning on the date indicated.

SEC source: 0000950138-20-000384 · edgar.xml · nonDerivative · entry 5

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 440,218

F4 · kind: Bona fide gift by Reporting Person of 8,586 shares to a revocable trust for the benefit of the Reporting Person's spouse.

F4 · shares: Bona fide gift by Reporting Person of 8,586 shares to a revocable trust for the benefit of the Reporting Person's spouse.

F5 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000384 · edgar.xml · nonDerivative · entry 4

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,984,725

F4 · kind: Bona fide gift by Reporting Person of 8,586 shares to a revocable trust for the benefit of the Reporting Person's spouse.

F4 · shares: Bona fide gift by Reporting Person of 8,586 shares to a revocable trust for the benefit of the Reporting Person's spouse.

F5 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0000950138-20-000384 · edgar.xml · nonDerivative · entry 3

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993,311

F3 · kind: Payment of portion of option exercise price by delivering securities.

F3 · shares: Payment of portion of option exercise price by delivering securities.

SEC source: 0000950138-20-000384 · edgar.xml · nonDerivative · entry 2

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,041,198

F2 · kind: Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.

F2 · shares: Shares withheld for taxes exempt under Rule 16b-3 resulting from nonqualified stock option exercise.

SEC source: 0000950138-20-000384 · edgar.xml · nonDerivative · entry 1

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,047,768

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 77,783 non-qualified stock options exempt under Rule 16b-3.

F1 · shares: Exercise of 77,783 non-qualified stock options exempt under Rule 16b-3.

SEC source: 0000950138-20-000331 · edgar.xml · derivative · entry 7

Train Michael H. · CIK 0001686963 · Pres & Chair Aut Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires 2020-10-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 16,125 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3.

F1 · shares: Exercise of 16,125 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3.

F5 · price: Price is not applicable to stock options received as incentive compensation.

F4 · derivative.exercise_date: The options vested in three equal annual installments beginning on the date indicated.

SEC source: 0000950138-20-000331 · edgar.xml · nonDerivative · entry 3

Train Michael H. · CIK 0001686963 · Pres & Chair Aut Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,640

F3 · kind: Shares withheld for taxes exempt under Rule 16b-3 resulting from non-qualified stock option exercise.

F3 · shares: Shares withheld for taxes exempt under Rule 16b-3 resulting from non-qualified stock option exercise.

SEC source: 0000950138-20-000331 · edgar.xml · nonDerivative · entry 2

Train Michael H. · CIK 0001686963 · Pres & Chair Aut Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,617

F2 · kind: Payment of option exercise price by delivering securities.

F2 · shares: Payment of option exercise price by delivering securities.

SEC source: 0000950138-20-000331 · edgar.xml · nonDerivative · entry 1

Train Michael H. · CIK 0001686963 · Pres & Chair Aut Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,838

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 16,125 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3.

F1 · shares: Exercise of 16,125 non-qualified stock options and 1,875 incentive stock options exempt under Rule 16b-3.

SEC source: 0000950138-20-000302 · edgar.xml · nonDerivative · entry 1

Button Bell Katherine · CIK 0001687262 · Sr. VP & Chief Marketing Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,741

SEC source: 0000950138-20-000296 · edgar.xml · derivative · entry 9

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,783

Underlying: Common Stock · 14,068 shares

Expires 2020-10-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Exercise of 14,068 non-qualified stock options exempt under Rule 16b-3.

F6 · price: Price is not applicable to stock options received as incentive compensation.

F5 · derivative.exercise_date: When taken together with previously exercised options having the same grant date, exercise price, and expiration date, all such options together vested in three equal annual installments beginning on the date indicated.

SEC source: 0000950138-20-000296 · edgar.xml · nonDerivative · entry 4

FARR DAVID N · CIK 0001183474 · Director · Chairman of Board & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 431,632

F3 · kind: Bona fide gift by Reporting Person of 6,754 shares to a revocable trust for the benefit of the Reporting Person's spouse.

F3 · shares: Bona fide gift by Reporting Person of 6,754 shares to a revocable trust for the benefit of the Reporting Person's spouse.

F4 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.