SEC Form 4 · accession 0001246360-15-002147
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dralle Rondi Rohr
Officer — VP Finance & Investor Rel.
Period of report
May 12, 2015
Accepted (ET)
May 14, 2015 · 2:35 pm EDT
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 | May 12, 2015 | M | 2,500 | $74.14 | A | 17,699 | D | |
| Common StockF1,F2 | May 12, 2015 | S | 2,500 | $122.0658 | D | 15,199 | D | |
| Common StockF3 | May 13, 2015 | I | 1,456 | $123.62 | D | 175 | 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) | $74.14 | May 12, 2015 | M | 2,500 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $122.0510 to $122.0820. 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.
- F2Includes 670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F3Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 05/13/2015. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.