SEC Form 4/A · accession 0001246360-16-007318
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
Dec 4, 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 StockF1,F2 | Dec 4, 2016 | M | 260 | $0.00 | A | 39,555 | D | |
| Common StockF4,F2,F5 | Dec 5, 2016 | S | 592 | $135.9526 | D | 38,963 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F2Amended to include 2,200 shares that were omitted from the total amount beneficially owned as last reported for this person due to an administrative error.
- F3Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/25/2016 to cover taxes due on restricted stock and performance shares that vested on 12/4/2016.
- F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $135.9475 to $135.965. 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.
- F5Includes 2,030 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.