SEC Form 4 · accession 0001246360-16-006516

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

Aug 10, 2016

Accepted (ET)

Aug 12, 2016 · 1:14 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	Aug 10, 2016	M	3,500	$46.16	A	32,727	D
Common Stock^F2,F3	Aug 10, 2016	S	3,500	$119.0136	D	29,227	D
Common Stock^F1	holding	—	—		—	211	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	Aug 10, 2016	M	3,500	D	Dec 9, 2010	Dec 9, 2019	Common Stock	3,500	0	D

F1Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 6/30/2016. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $119.00 to $119.04. 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.
F3Includes 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.