SEC Form 4 · accession 0001246360-16-007108
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore D Crandall
Officer — Sr.VP and CFO
Period of report
Nov 9, 2016
Accepted (ET)
Nov 10, 2016 · 10:28 am EST
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 | Nov 9, 2016 | M | 11,300 | $69.57 | A | 106,131 | D | |
| Common StockF2,F3 | Nov 9, 2016 | S | 500 | $123.806 | D | 105,631 | D | |
| Common StockF4,F3 | Nov 9, 2016 | S | 4,600 | $124.7593 | D | 101,031 | D | |
| Common StockF5,F3 | Nov 9, 2016 | S | 3,700 | $125.6964 | D | 97,331 | D | |
| Common StockF3,F6,F7 | Nov 9, 2016 | S | 2,500 | $126.4633 | D | 94,831 | D | |
| Common StockF1 | holding | — | — | — | 4,156 | 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 | Nov 9, 2016 | M | 11,300 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 11,300 | 24,000 | 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 10/31/2016. 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 $123.0700 to $123.9900. 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.
- F3Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 8/30/2016.
- F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $124.2300 to $125.2200. 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 $125.2300 to $126.1800. 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.
- F6Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $126.2750 to $126.7700. 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.
- F7Includes 4,670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.