SEC Form 4 · accession 0001246360-15-003756
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Schmitt
Officer — Sr. VP, HR
Period of report
Dec 6, 2015
Accepted (ET)
Dec 8, 2015 · 6:42 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 StockF2 | Dec 6, 2015 | M | 2,083 | $0.00 | A | 13,766 | D | |
| Common StockF3,F4 | Dec 7, 2015 | S | 2,983 | $106.04 | D | 10,783 | D | |
| Common StockF1 | holding | — | — | — | 2,205 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF2 | — | Dec 6, 2015 | M | 2,083 | D | Dec 6, 2015 | Dec 6, 2015 | Common Stock | 2,083 | 0 | D |
Explanation of responses
- F1Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/30/2015.
- F2Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F3Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/26/2015 to cover taxes due on restricted stock and performance shares that vested on 12/06/2015.
- F4Includes 2,280 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.