SEC Form 4 · accession 0001246360-16-005683
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert B Murphy
Officer — Sr. VP Operations & Eng. Svcs.
Period of report
May 2, 2016
Accepted (ET)
May 3, 2016 · 6:42 pm EDT
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,F3 | May 2, 2016 | A | 170 | $0.00 | A | 660 | D | |
| Common StockF1 | holding | — | — | — | 124 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) - SO 05/02/2016F4 | $113.24 | May 2, 2016 | A | 4,400 | A | May 2, 2017 | May 2, 2026 | Common Stock | 4,400 | 4,400 | 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 04/30/2016.
- F2Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- F3Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F4The option vests in three substantially equal annual installments beginning on the date exercisable.