The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
0000032604 |
EMERSON ELECTRIC MANUFACTUING CO |
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X |
Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
EMERSON ELECTRIC CO |
Jurisdiction of Incorporation/Organization |
MISSOURI |
Year of Incorporation/Organization |
X |
Over Five Years Ago |
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Within Last Five Years (Specify Year) |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
EMERSON ELECTRIC CO |
Street Address 1 |
Street Address 2 |
8000 W. FLORISSANT AVENUE |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
ST LOUIS |
MISSOURI |
63136 |
314-553-2000 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Farr |
David |
N. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Chairman and Chief Executive Officer
Last Name |
First Name |
Middle Name |
Ashmore |
Craig |
W. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive Vice President - Planning and Development
Last Name |
First Name |
Middle Name |
Boersig |
Clemens |
A.H. |
Street Address 1 |
Street Address 2 |
Taunusanlage 12 |
City |
State/Province/Country |
ZIP/PostalCode |
Frankfurt am Main |
GERMANY |
D-60325 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Bolten |
Joshua |
B. |
Street Address 1 |
Street Address 2 |
1401 I Street, NW |
Suite 1120 |
City |
State/Province/Country |
ZIP/PostalCode |
Washington |
DISTRICT OF COLUMBIA |
20005 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Busch III |
August |
A. |
Street Address 1 |
Street Address 2 |
1 Mid Rivers Mall Drive |
Suite 210 |
City |
State/Province/Country |
ZIP/PostalCode |
St. Peters |
MISSOURI |
63376 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Dellaquila |
Frank |
J. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive Vice President and Chief Financial Officer
Last Name |
First Name |
Middle Name |
Fernandez Gonzalez |
Carlos |
Street Address 1 |
Street Address 2 |
Javier Barros Sierra N. 555, Pisa 6 |
Col. Zedec Santa Fe |
City |
State/Province/Country |
ZIP/PostalCode |
Del. Alvaro Obregon |
MEXICO |
01210 |
Relationship: |
|
Executive Officer |
X |
Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Galvin |
Walter |
J. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Vice Chairman
Last Name |
First Name |
Middle Name |
Golden |
Arthur |
F. |
Street Address 1 |
Street Address 2 |
Davis Polk & Wardwell |
450 Lexington Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
New York |
NEW YORK |
10017 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Green |
Harriet |
J. |
Street Address 1 |
Street Address 2 |
6th Floor South Brettenham House |
Lancaster Place |
City |
State/Province/Country |
ZIP/PostalCode |
London |
UNITED KINGDOM |
WC2E 7EN |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Johnson |
William |
R. |
Street Address 1 |
Street Address 2 |
P. O. Box 57 |
PPG Place Suite 3100 |
City |
State/Province/Country |
ZIP/PostalCode |
Pittsburgh |
PENNSYLVANIA |
15230 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Levatich |
Matthew |
S. |
Street Address 1 |
Street Address 2 |
3700 West Juneau Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
Milwaukee |
WISCONSIN |
53208 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Monser |
Edward |
L. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
President and Chief Operating Officer
Last Name |
First Name |
Middle Name |
Peters |
Charles |
A. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Senior Executive Vice President
Last Name |
First Name |
Middle Name |
Prueher |
Joseph |
W. |
Street Address 1 |
Street Address 2 |
833 East Sparrow Road |
City |
State/Province/Country |
ZIP/PostalCode |
Virginia Beach |
VIRGINIA |
23464 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Ridgway |
Rozanne |
L. |
Street Address 1 |
Street Address 2 |
2695 Marcey Road |
City |
State/Province/Country |
ZIP/PostalCode |
Arlington |
VIRGINIA |
22207 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Schlueter |
Richard |
J. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Vice President, Controller and Chief Accounting Officer
Last Name |
First Name |
Middle Name |
Stephenson |
Randall |
L. |
Street Address 1 |
Street Address 2 |
208 S. Akard Street |
Suite 3700 |
City |
State/Province/Country |
ZIP/PostalCode |
Dallas |
TEXAS |
75202 |
Relationship: |
|
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Steeves |
Frank |
L. |
Street Address 1 |
Street Address 2 |
8000 W. Florissant Avenue |
City |
State/Province/Country |
ZIP/PostalCode |
St. Louis |
MISSOURI |
63136 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Executive Vice President, Secretary and General Counsel
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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X |
Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
X |
Over $100,000,000 |
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Over $100,000,000 |
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Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 505 |
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Rule 504 (b)(1)(i) |
X |
Rule 506 |
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Rule 504 (b)(1)(ii) |
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Securities Act Section 4(5) |
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Rule 504 (b)(1)(iii) |
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Investment Company Act Section 3(c) |
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|
Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
1992-09-18 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
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Equity |
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Pooled Investment Fund Interests |
X |
Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$250,000
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
Barclays Capital Inc. |
19714 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Barclays Capital Inc. |
19714 |
Street Address 1 |
Street Address 2 |
745 Seventh Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10019 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
|
Goldman Sachs and Co. |
361 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Goldman Sachs and Co. |
361 |
Street Address 1 |
Street Address 2 |
85 Broad Street |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bank of America |
26091 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Banc of America Securities LLC |
26091 |
Street Address 1 |
Street Address 2 |
600 Montgomery Street |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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|
|
Recipient |
Recipient CRD Number |
|
None |
|
Morgan Stanley & Co. Incorporated |
8209 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
JP Morgan Chase Bank |
8209 |
Street Address 1 |
Street Address 2 |
1585 Broadway |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10036 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
J.P. Morgan Securities Inc. |
18718 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
J.P. Morgan Securities Inc. |
18718 |
Street Address 1 |
Street Address 2 |
270 Park Avenue - 9th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10017 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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13. Offering and Sales Amounts
Total Offering Amount |
|
USD |
|
Total Amount Sold |
$1,347,000,000
|
USD |
Total Remaining to be Sold |
|
USD |
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Clarification of Response (if Necessary):
(a)Continuous commercial paper program. Maximum outstanding amount of short-term notes authorized is $3 billion.
(b)Average outstanding balance over the prior 12 mos.
(c)Outstanding amount of commercial paper as of September 30 was $980 million.14. Investors
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Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
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Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions |
$650,000
|
USD |
|
Finders' Fees |
$0
|
USD |
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Clarification of Response (if Necessary):
Amount is estimated, annualized sales commission based on size of program.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
The proceeds of the offering are to be used for general working capital purposes of Issuer.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer |
Signature |
Name of Signer |
Title |
Date |
EMERSON ELECTRIC CO |
/s/ David J. Rabe |
David J. Rabe |
Vice President and Treasurer |
2012-11-20 |
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 number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.