SEC Form 4 · accession 0001246360-15-002207

ROCKWELL AUTOMATION, INC · ROK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Keith D Nosbusch

Officer — Chairman, President and CEO · Director

Period of report

May 13, 2015

Accepted (ET)

May 15, 2015 · 5:35 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 13, 2015	M	1,300	$74.14	A	487,721	D
Common Stock^F1	May 13, 2015	I	31	$123.62	D	0	I	By Savings Plan
Common Stock^F4	May 13, 2015	S	22,626	$123.6636	D	465,095	D
Common Stock^F5	May 13, 2015	S	2,374	$124.1891	D	462,721	D
Common Stock^F6	May 14, 2015	S	15,668	$124.0889	D	447,053	D
Common Stock^F7,F8	May 14, 2015	S	9,332	$124.4005	D	437,721	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Share Equivalents^F3,F2	$123.62	May 13, 2015	I	42	D	—	—	Common Stock	42	0	I
Employee Stock Option (Right to Buy)	$74.14	May 13, 2015	M	1,300	D	Dec 1, 2012	Dec 1, 2021	Common Stock	1,300	100,500	D

Explanation of responses

F1Includes 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.
F2The share equivalents are payable in cash upon retirement or after termination of employment.
F3Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified 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.
F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $123.05 to $124.04. 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.
F5Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $124.05 to $124.36. 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.
F6Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $123.50 to $124.29. 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.
F7Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $124.2999 to $124.63. 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.
F8Includes 16,670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.