SEC Form 4 · accession 0001246360-16-007143
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 11, 2016
Accepted (ET)
Nov 14, 2016 · 3:42 pm 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 11, 2016 | M | 11,300 | $69.57 | A | 106,131 | D | |
| Common StockF2 | Nov 11, 2016 | S | 7,626 | $130.1413 | D | 98,505 | D | |
| Common StockF3,F4 | Nov 11, 2016 | S | 3,674 | $130.7056 | 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 11, 2016 | M | 11,300 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 11,300 | 12,700 | 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 10/31/2016.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $129.5200 to $130.5000. 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.
- F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $130.5400 to $130.8700. 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.
- F4Includes 4,670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.