SEC Form 4 · accession 0001246360-15-003758

ROCKWELL AUTOMATION, INC · ROK

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

Reporting owner

Officer — VP and Chief IP Counsel

Period of report

Dec 6, 2015

Accepted (ET)

Dec 8, 2015 · 6:49 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^F2	Dec 6, 2015	M	632	$0.00	A	8,708	D
Common Stock^F3,F4,F5	Dec 7, 2015	S	322	$106.49	D	8,386	D
Common Stock^F1	holding	—	—		—	280	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Shares^F2	—	Dec 6, 2015	M	632	D	Dec 6, 2015	Dec 6, 2015	Common Stock	632	0	D

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). The performance shares vest on December 1, 2014, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $106.49 to $106.4901. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F4Sale 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.
F5Includes 640 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.