SEC Form 4 · accession 0001246360-15-003761
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sujeet Chand
Officer — Sr VP & Chief Tech. Officer
Period of report
Dec 6, 2015
Accepted (ET)
Dec 8, 2015 · 6:56 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 | 2,530 | $0.00 | A | 43,906 | D | |
| Common StockF3,F4,F5 | Dec 7, 2015 | S | 1,811 | $106.4522 | D | 42,095 | D | |
| Common StockF1 | holding | — | — | — | 5,859 | 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 | 2,530 | D | Dec 6, 2015 | Dec 6, 2015 | Common Stock | 2,530 | 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).
- F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $106.4446 to $106.4526. 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 8/31/2015 to cover taxes due on restricted stock and performance shares that vested on 12/06/2015.
- F5Includes 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.