SEC Form 4/A · accession 0001246360-16-007317
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Sujeet Chand
Officer — Sr VP & Chief Tech. Officer
Period of report
Nov 15, 2016
Accepted (ET)
Dec 6, 2016 · 4:14 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 15, 2016 | M | 2,200 | $47.10 | A | 41,495 | D | |
| Common Stock | Nov 15, 2016 | M | 7,000 | $69.57 | A | 48,495 | D | |
| Common StockF1,F2,F3 | Nov 15, 2016 | S | 9,200 | $131.9493 | D | 39,295 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $131.675 to 132.23. 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.
- F2Includes 2,200 shares that were originally reported as a separate transaction and inadvertently omitted from the total amount of shares beneficially owned following the reported transactions.
- F3Includes 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.