SEC Form 4 · accession 0001246360-16-007390
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Hagerman
Officer — Sr. VP, Gen Counsel and Sec.
Period of report
Dec 8, 2016
Accepted (ET)
Dec 9, 2016 · 2:21 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 StockF2,F3,F4 | Dec 8, 2016 | S | 588 | $137.3836 | D | 7,418 | D | |
| Common StockF1 | holding | — | — | — | 212 | I | By Savings Plan |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $137.38 to $137.39. 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.
- F3Shares sold pursuant to a Rule 10b5-1 trading plan entered into on 8/31/2016.
- F4Includes 2,030 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.