SEC Form 4 · accession 0001246360-16-006109

ROCKWELL AUTOMATION, INC · ROK

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

Reporting owner

Officer — Sr. VP, Gen Counsel and Sec.

Period of report

Jun 6, 2016

Accepted (ET)

Jun 8, 2016 · 6:35 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 Stock	Jun 6, 2016	M	6,000	$46.16	A	40,227	D
Common Stock^F2	Jun 6, 2016	S	6,000	$119.30	D	34,227	D
Common Stock^F3,F4	Jun 7, 2016	S	300	$119.75	D	33,927	D
Common Stock^F4,F5	Jun 8, 2016	S	400	$119.70	D	33,527	D
Common Stock^F1	holding	—	—		—	178	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)	$46.16	Jun 6, 2016	M	6,000	D	Dec 9, 2010	Dec 9, 2019	Common Stock	6,000	3,500	D

F1Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 03/31/2016.
F2Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 11/24/2015.
F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $119.70 to $119.85. 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.
F4Shares sold pursuant to a Rule 10b5-1 trading plan entered into on 11/24/2015.
F5Includes 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.