SEC Form 4 · accession 0001246360-16-007313
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
Dec 4, 2016
Accepted (ET)
Dec 6, 2016 · 10:35 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 StockF5 | Dec 4, 2016 | M | 56 | $0.00 | A | 10,356 | D | |
| Common StockF6,F7 | Dec 5, 2016 | S | 91 | $135.9466 | D | 10,265 | D | |
| Common StockF1 | holding | — | — | — | 1,544 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF5 | — | Dec 4, 2016 | M | 56 | D | Dec 4, 2016 | Dec 4, 2016 | Common Stock | 56 | 0 | D |
| Common Stock Share EquivalentsF4,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 159 | 159 | I |
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 11/30/2016. 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.
- F2Each unit is the economic equivalent of one share of Company common stock.
- F3The share equivalents are payable in cash upon retirement or after termination of employment.
- F4Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 11/30/2016. 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.
- F5Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F6Sale of shares pursuant to Rule 10b5-1 trading plan dated 05/25/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016.
- F7Includes 440 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.