Form 4 for ETN Eaton Corporation
Accepted 2021-11-08 00:00:00 ET · period of report 2021-11-05 · accession 0001104659-21-135793 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-08 | 2021-11-05 | ETN | ARNOLD CRAIG | See Remarks below, Dir | S - Sale+OE | $171.38 | -127.6K | 481.9K | -21% | -$21.86M |
| DM | 2021-11-08 | 2021-11-05 | ETN | ARNOLD CRAIG | See Remarks below, Dir | M - OptEx | $71.98 | +130.2K | 381.5K | +52% | +$9.37M |
| DM | 2021-11-08 | 2021-11-05 | ETN | ARNOLD CRAIG | See Remarks below, Dir | F - Tax | $173.20 | -1,154 | 381.0K | -0.3% | -$199.9K |
| DM | 2021-11-08 | 2021-11-05 | ETN | ARNOLD CRAIG | See Remarks below, Dir | M - OptEx | $0.00 | -130.2K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Ordinary Shares | 2021-11-05 | S | D | 16,558 | $172.33 | 382,950 | D | — | — | (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. |
| 2 | Common | Ordinary Shares | 2021-11-05 | S | D | 2,640 | $173.20 | 380,310 | D | — | — | (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. |
| 3 | Common | Ordinary Shares | 2021-11-05 | S | D | 82,432 | $171.32 | 399,508 | D | — | — | (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. |
| 4 | Common | Ordinary Shares | 2021-11-05 | S | D | 25,929 | $170.78 | 481,940 | D | — | — | (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. |
| 5 | Common | Ordinary Shares | 2021-11-05 | M | A | 127,559 | $71.89 | 507,869 | D | — | — | |
| 6 | Common | Ordinary Shares | 2021-11-05 | F | D | 577 | $173.13 | 380,310 | D | — | — | |
| 7 | Common | Ordinary Shares | 2021-11-05 | M | A | 1,391 | $71.89 | 380,887 | D | — | — | (F1) The number of shares beneficially owned has been updated to correct an administrative error. |
| 8 | Common | Ordinary Shares | 2021-11-05 | F | D | 577 | $173.27 | 380,953 | D | — | — | |
| 9 | Common | Ordinary Shares | 2021-11-05 | M | A | 1,220 | $81.96 | 381,530 | D | — | — | |
| 10 | Derivative | Stock Option | 2021-11-05 | M | D | 1,220 | $0.00 | 116,330 | D | $81.96 · 2019-02-27 to 2028-02-27 | 1,220 Ordinary Shares | (F6) These stock options became 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. |
| 11 | Derivative | Stock Option | 2021-11-05 | M | D | 1,391 | $0.00 | 127,559 | D | $71.89 · 2018-02-21 to 2027-02-21 | 1,391 Ordinary Shares | (F6) These stock options became 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. |
| 12 | Derivative | Stock Option | 2021-11-05 | M | D | 127,559 | $0.00 | 0 | D | $71.89 · 2018-02-21 to 2027-02-21 | 127,559 Ordinary Shares | (F6) These stock options became 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. |