SEC Form 4 · accession 0001246360-17-000571
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank C Kulaszewicz
Officer — SVP
Period of report
Feb 9, 2017
Accepted (ET)
Feb 13, 2017 · 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 StockF2 | Feb 9, 2017 | I | 389 | $150.35 | D | 0 | I | By Savings Plan |
| Common StockF1 | holding | — | — | — | 27,332 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Share EquivalentsF3,F4 | $150.35 | Feb 9, 2017 | I | 393 | D | — | — | Common Stock | 393 | 0 | I |
Explanation of responses
- F1Includes 4,720 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F2Includes 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 2/9/2017. 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.
- F3Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 2/9/2017. 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.
- F4The share equivalents are payable in cash upon retirement or after termination of employment.