SEC Form 4 · accession 0001246360-16-006219
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Phillip Holloman
Director
Period of report
Jul 1, 2016
Accepted (ET)
Jul 5, 2016 · 11:35 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024478
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Jul 1, 2016 | A | 207 | A | — | — | Common Stock | 207 | 4,938 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
- F2Restricted stock units delivered as compensation for service as a director under the 2003 Directors Stock Plan.
- F3Payable upon retirement, change of control and certain other circumstances.