SEC Form 4 · accession 0001246360-15-003751
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
Dec 6, 2015
Accepted (ET)
Dec 8, 2015 · 6:28 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 StockF1,F2 | Dec 6, 2015 | M | 14,155 | $0.00 | A | 428,696 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF1 | — | Dec 6, 2015 | M | 14,155 | D | Dec 6, 2015 | Dec 6, 2015 | Common Stock | 14,155 | 0 | D |
Explanation of responses
- F1Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F2Includes 17,470 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.