SEC Form 4 · accession 0001246360-17-000600
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
David M Dorgan
Officer — VP and Controller
Period of report
Feb 13, 2017
Accepted (ET)
Feb 14, 2017 · 12:56 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 13, 2017 | M | 2,100 | $46.16 | A | 2,100 | D | |
| Common StockF2,F3 | Feb 13, 2017 | S | 4,100 | $152.9913 | D | 6,355 | D | |
| Common StockF1 | holding | — | — | — | 1,583 | 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 13, 2017 | M | 2,100 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 2,100 | 0 | D |
Explanation of responses
- 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.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $152.7506 to $153.2206. 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.
- F3Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.