SEC Form 4 · accession 0001246360-16-007371
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven W. Etzel
Officer — VP and Treasurer
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 11:35 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 StockF3,F4 | Dec 6, 2016 | A | 190 | $0.00 | A | 6,595 | D | |
| Common StockF1 | holding | — | — | — | 574 | 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)F2 | $136.40 | Dec 6, 2016 | A | 3,100 | A | Dec 6, 2017 | Dec 6, 2026 | Common Stock | 3,100 | 3,100 | 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 11/30/2016.
- F2The option vests in three substantially equal annual installments beginning on the date exercisable.
- F3Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- F4Includes 660 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.