SEC Form 4 · accession 0001246360-17-000472
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick P. Goris
Officer — Sr. VP and CFO
Period of report
Feb 7, 2017
Accepted (ET)
Feb 8, 2017 · 4:42 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 StockF3,F4 | Feb 7, 2017 | A | 960 | $0.00 | A | 5,149 | D | |
| Common StockF1 | holding | — | — | — | 1,405 | 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 | $149.41 | Feb 7, 2017 | A | 28,400 | A | Feb 7, 2018 | Feb 7, 2027 | Common Stock | 28,400 | 28,400 | 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 2/6/2017.
- 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 1,590 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.