SEC Form 4 · accession 0001246360-16-006549
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Hagerman
Officer — Sr. VP, Gen Counsel and Sec.
Period of report
Aug 16, 2016
Accepted (ET)
Aug 18, 2016 · 1:42 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 Stock | Aug 16, 2016 | M | 1,300 | $0.00 | A | 30,527 | D | |
| Common Stock | Aug 16, 2016 | M | 1,400 | $0.00 | A | 31,927 | D | |
| Common Stock | Aug 16, 2016 | M | 1,200 | $0.00 | A | 33,127 | D | |
| Common StockF2 | Aug 16, 2016 | F | 2,436 | $118.94 | D | 30,691 | D | |
| Common StockF1 | holding | — | — | — | 211 | 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) | $69.57 | Aug 16, 2016 | M | 1,400 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 1,400 | 25,400 | D |
| Employee Stock Option (Right to Buy) | $74.14 | Aug 16, 2016 | M | 1,300 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 1,300 | 18,200 | D |
| Employee Stock Option (Right to Buy) | $80.11 | Aug 16, 2016 | M | 1,200 | D | Dec 6, 2013 | Dec 6, 2022 | Common Stock | 1,200 | 13,800 | 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 6/30/2016.
- F2Includes 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.