SEC Form 4 · accession 0001246360-17-000968
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 22, 2017
Accepted (ET)
Feb 24, 2017 · 1:07 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 22, 2017 | M | 50,000 | $69.57 | A | 430,415 | D | |
| Common StockF2 | Feb 22, 2017 | S | 30,000 | $152.2471 | D | 400,415 | D | |
| Common Stock | Feb 22, 2017 | S | 20,000 | $153.00 | D | 380,415 | D | |
| Common StockF3 | Feb 23, 2017 | M | 20,871 | $46.16 | A | 401,286 | 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) | $69.57 | Feb 22, 2017 | M | 50,000 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 50,000 | 33,900 | D |
| Employee Stock Option (Right to Buy) | $46.16 | Feb 23, 2017 | M | 20,871 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 20,871 | 0 | 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 $152.00 to $152.6307. 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.
- F3Represents shares held by a revocable trust of which the reporting person and his spouse are trustees and beneficiaries.