SEC Form 4 · accession 0001246360-15-002313
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P McDermott
Officer — Sr. Vice President
Period of report
May 20, 2015
Accepted (ET)
May 22, 2015 · 12:49 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 20, 2015 | M | 1,300 | $74.14 | A | 50,268 | D | |
| Common StockF1 | May 21, 2015 | G | 2,000 | $0.00 | D | 48,268 | D | |
| Common StockF2 | May 21, 2015 | I | 931 | $125.67 | D | 11 | 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 20, 2015 | M | 1,300 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 1,300 | 19,000 | D |
| Common Stock Share EquivalentsF3,F4 | $125.67 | May 21, 2015 | I | 883 | D | — | — | Common Stock | 883 | 9 | I |
Explanation of responses
- F1Includes 3,040 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F2Includes 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 5/21/2015. 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.
- 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 5/21/2015. 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.
- F4The share equivalents are payable in cash upon retirement or after termination of employment.