SEC Form 4 · accession 0001246360-15-001042
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank C Kulaszewicz
Officer — SVP
Period of report
Feb 19, 2015
Accepted (ET)
Feb 20, 2015 · 11:07 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024478
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 19, 2015 | M | 3,200 | $69.57 | A | 26,223 | D | |
| Common Stock | Feb 19, 2015 | M | 2,434 | $97.00 | A | 28,657 | D | |
| Common StockF2,F3 | Feb 19, 2015 | S | 5,634 | $118.0292 | D | 23,023 | D | |
| Common StockF1 | holding | — | — | — | 243 | I | By Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $69.57 | Feb 19, 2015 | M | 3,200 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 3,200 | 0 | D |
| Employee Stock Option (right to buy) | $97.00 | Feb 19, 2015 | M | 2,434 | D | Apr 1, 2012 | Apr 1, 2021 | Common Stock | 2,434 | 0 | D |
Explanation of responses
- F1Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 12/31/2014.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $118.0210 to $118.0410. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
- F3Includes 4,510 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.