SEC Form 4 · accession 0001246360-16-004384
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
Feb 9, 2016
Accepted (ET)
Feb 9, 2016 · 5:14 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 | Feb 9, 2016 | M | 1,200 | $80.11 | A | 429,896 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $80.11 | Feb 9, 2016 | M | 1,200 | D | Dec 6, 2013 | Dec 6, 2022 | Common Stock | 1,200 | 76,800 | D |
Explanation of responses
- F1Includes (i) 379,343 shares held by a revocable trust of which the reporting person and his spouse are trustees and beneficiaries and (ii) 17,470 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.