SEC Form 4 · accession 0001246360-16-007252
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Dorgan
Officer — VP and Controller
Period of report
Nov 30, 2016
Accepted (ET)
Dec 1, 2016 · 1:28 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 30, 2016 | M | 2,300 | $46.16 | A | 12,600 | D | |
| Common StockF2,F3 | Nov 30, 2016 | S | 2,300 | $133.7857 | D | 10,300 | D | |
| Common StockF1 | holding | — | — | — | 1,541 | 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 | Nov 30, 2016 | M | 2,300 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 2,300 | 2,100 | 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 11/10/2016.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $133.7830 to $133.7860. 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.
- F3Includes 640 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.