SEC Form 4 · accession 0001246360-17-001121
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 28, 2017
Accepted (ET)
Feb 28, 2017 · 8:28 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 28, 2017 | M | 33,900 | $69.57 | A | 435,186 | D | |
| Common StockF2 | Feb 28, 2017 | S | 33,900 | $151.00 | D | 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 28, 2017 | M | 33,900 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 33,900 | 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.
- F2Represents shares held by a revocable trust of which the reporting person and his spouse are trustees and beneficiaries.