SEC Form 4 · accession 0001246360-16-007145
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank C Kulaszewicz
Officer — SVP
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 | 2,000 | $29.37 | A | 28,240 | D | |
| Common StockF2 | Nov 11, 2016 | S | 2,000 | $129.5465 | D | 26,240 | D | |
| Common StockF1 | holding | — | — | — | 374 | 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) | $29.37 | Nov 11, 2016 | M | 2,000 | D | Dec 3, 2009 | Dec 3, 2018 | Common Stock | 2,000 | 3,500 | 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.
- F2Includes 4,670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.