SEC Form 4 · accession 0001246360-16-006941
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Schmitt
Officer — Sr. VP, HR
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 12:49 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF2,F1,F3 | — | Oct 3, 2016 | A | 195 | A | — | Dec 4, 2016 | Common Stock | 195 | 195 | D |
Explanation of responses
- F1Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F2On 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.
- F3Each 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.