SEC Form 4 · accession 0001246360-15-003709

ROCKWELL AUTOMATION, INC · ROK

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

Reporting owner

Officer — Chairman, President and CEO · Director

Period of report

Dec 3, 2015

Accepted (ET)

Dec 7, 2015 · 4:42 pm 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^F5,F6	Dec 3, 2015	A	6,920	$0.00	A	414,541	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy) - SO 12/03/2015^F4	$104.08	Dec 3, 2015	A	101,900	A	Dec 3, 2016	Dec 3, 2025	Common Stock	101,900	101,900	D
Common Stock Share Equivalents^F3,F1,F2	—	holding	—	—	—	—	—	Common Stock	189	189	I

F1Each unit is the economic equivalent of one share of Company common stock.
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 11/30/2015. 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 option vests in three substantially equal annual installments beginning on the date exercisable.
F5Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
F6Includes 17,470 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.