SEC Form 4 · accession 0001246360-16-006918
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven W. Etzel
Officer — VP and Treasurer
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 5:35 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 | Sep 30, 2016 | M | 1,800 | $46.16 | A | 8,286 | D | |
| Common StockF3 | Sep 30, 2016 | S | 700 | $120.4664 | D | 7,586 | D | |
| Common StockF4 | Sep 30, 2016 | S | 800 | $122.0163 | D | 6,786 | D | |
| Common StockF5,F6 | Sep 30, 2016 | S | 300 | $122.7603 | D | 6,486 | D | |
| Common StockF1 | holding | — | — | — | 570 | 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) | $46.16 | Sep 30, 2016 | M | 1,800 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 1,800 | 4,100 | D |
| Performance SharesF8,F7,F9 | — | Oct 3, 2016 | A | 56 | A | — | Dec 4, 2016 | Common Stock | 56 | 56 | D |
Explanation of responses
- 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 09/30/2016. 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.
- F2Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on May 24, 2016.
- F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $120.02 to $120.90. 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.
- F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $121.55 to $122.49. 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.
- F5Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $122.68 to $122.85. 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.
- F6Includes 670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F7Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F8On December 4, 2013, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was determined on October 3, 2016, resulting in the reported number of performance shares received.
- F9Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 4, 2016, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.