UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | 02/24/2016(2) | Â (3) | Ordinary Shares | 1,592 | $ 0 (4) | D | Â |
Restricted Stock Units | 02/23/2017(5) | Â (3) | Ordinary Shares | 4,128 | $ 0 (4) | D | Â |
Restricted Stock Units | 02/21/2018(6) | Â (3) | Ordinary Shares | 4,505 | $ 0 (4) | D | Â |
Restricted Stock Units | 02/23/2019(7) | Â (3) | Ordinary Shares | 14,060 | $ 0 (4) | D | Â |
Stock Option | 02/22/2012(8) | 02/22/2021 | Ordinary Shares | 19,450 | $ 53.71 | D | Â |
Stock Option | 02/21/2013(9) | 02/21/2022 | Ordinary Shares | 22,050 | $ 51.94 | D | Â |
Stock Option | 02/26/2014(10) | 02/26/2023 | Ordinary Shares | 20,000 | $ 59.56 | D | Â |
Stock Option | 02/25/2015(11) | 02/25/2024 | Ordinary Shares | 15,550 | $ 75.36 | D | Â |
Stock Option | 02/24/2016(12) | 02/24/2025 | Ordinary Shares | 21,400 | $ 71.72 | D | Â |
Stock Option | 02/23/2017(13) | 02/23/2026 | Ordinary Shares | 33,250 | $ 56.55 | D | Â |
Stock Option | 02/21/2018(14) | 02/21/2027 | Ordinary Shares | 22,650 | $ 71.89 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DAVIS KENNETH FRANCIS 1000 EATON BLVD. CLEVELAND, OH 44122 |
 |  |  See Remarks below |  |
/s/ Lizbeth L. Wright, as Attorney-in-Fact | 03/23/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These ordinary shares are held in the Eaton Savings Plan. |
(2) | These restricted stock units were granted on February 24, 2015 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. |
(3) | This field is not applicable. |
(4) | Each restricted stock unit represents a contingent right to receive one common share of the issuer. |
(5) | These restricted stock units were granted on February 23, 2016 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. |
(6) | These restricted stock units were granted on February 21, 2017 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. |
(7) | These restricted stock units vest on the third anniversary of the grant date. |
(8) | These options were granted on February 22, 2011, and are fully vested and exercisable. |
(9) | These options were granted on February 21, 2012, and are fully vested and exercisable. |
(10) | These options were granted on February 26, 2013, and are fully vested and exercisable. |
(11) | These options were granted on February 25, 2014, and are fully vested and exercisable. |
(12) | These options were granted on February 24, 2015, and are exercisable as follows: 33% on the first and second anniversaries of the grant date and 34% on the third anniversary of the grant date. |
(13) | These options were granted on February 23, 2016, and are exercisable as follows: 33% on the first and second anniversaries of the grant date and 34% on the third anniversary of the grant date. |
(14) | These options were granted on February 21, 2017, and are exercisable as follows: 33% on the first and second anniversaries of the grant date and 34% on the third anniversary of the grant date. |
 Remarks: President, Vehicle Group, of Eaton Corporation, a subsidiary of the Issuer. |