SEC Form 4 · accession 0001246360-17-000516
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith D Nosbusch
Director
Period of report
Feb 7, 2017
Accepted (ET)
Feb 9, 2017 · 6:07 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 | 20,600 | $46.16 | A | 353,195 | D | |
| Common StockF2 | Feb 7, 2017 | S | 15,025 | $150.7297 | D | 338,170 | D | |
| Common StockF3 | Feb 7, 2017 | S | 5,475 | $151.7897 | D | 332,695 | D | |
| Common Stock | Feb 7, 2017 | S | 100 | $152.40 | D | 332,595 | D | |
| Common Stock | Feb 9, 2017 | M | 10,000 | $46.16 | A | 342,595 | D | |
| Common StockF4,F5 | Feb 9, 2017 | S | 10,000 | $150.0006 | D | 332,595 | D | |
| Common StockF1 | holding | — | — | — | 78 | 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) | $46.16 | Feb 7, 2017 | M | 20,600 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 20,600 | 158,000 | D |
| Employee Stock Option (Right to Buy) | $46.16 | Feb 9, 2017 | M | 10,000 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 10,000 | 148,000 | 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 12/31/2016.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $150.34 to $151.26. 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.
- F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $151.34 to $152.33. 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.
- F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $150.00 to $150.007. 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.
- F5Represents (i) 320,415 shares held by a revocable trust of which the reporting person and his spouse are trustees and beneficiaries and (ii) 12,180 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.