SEC Form 4 · accession 0001246360-17-000902
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 21, 2017
Accepted (ET)
Feb 22, 2017 · 4:49 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 21, 2017 | M | 1,300 | $74.14 | A | 28,632 | D | |
| Common StockF1 | Feb 21, 2017 | S | 3,437 | $151.2143 | D | 25,195 | D |
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) | $74.14 | Feb 21, 2017 | M | 1,300 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 1,300 | 0 | D |
Explanation of responses
- F1Includes 4,720 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.