SEC Form 4 · accession 0001246360-17-000470

ROCKWELL AUTOMATION, INC · ROK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP and Chief IP Counsel

Period of report

Feb 7, 2017

Accepted (ET)

Feb 8, 2017 · 1:07 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	Feb 7, 2017	M	567	$108.89	A	8,227	D
Common Stock	Feb 7, 2017	M	800	$115.69	A	9,027	D
Common Stock	Feb 7, 2017	M	933	$104.08	A	9,960	D
Common Stock^F2	Feb 7, 2017	S	2,300	$150.3739	D	7,660	D
Common Stock^F1	holding	—	—		—	360	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)	$108.89	Feb 7, 2017	M	567	D	Dec 4, 2014	Dec 4, 2023	Common Stock	567	900	D
Employee Stock Option (Right to Buy)	$115.69	Feb 7, 2017	M	800	D	Dec 2, 2015	Dec 2, 2024	Common Stock	800	1,600	D
Employee Stock Option (Right to Buy)	$104.08	Feb 7, 2017	M	933	D	Dec 3, 2016	Dec 3, 2025	Common Stock	933	2,767	D

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 12/31/2016. 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.
F2Includes 1,650 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.