SEC Form 4 · accession 0001246360-15-002923
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blake D. Moret
Officer — SVP
Period of report
Aug 12, 2015
Accepted (ET)
Aug 14, 2015 · 12:56 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 StockF4 | Aug 12, 2015 | I | 604 | $115.84 | D | 42 | I | By Savings Plan |
| Common StockF1 | holding | — | — | — | 16,749 | 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 EquivalentsF3,F2 | $115.84 | Aug 12, 2015 | I | 259 | D | — | — | Common Stock | 259 | 107 | I |
Explanation of responses
- F1Includes 4,510 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- 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 08/12/2015. 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.
- F4Includes 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 08/12/2015. 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.