SEC Form 4 · accession 0001246360-17-001773
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith D Nosbusch
Director
Period of report
May 5, 2017
Accepted (ET)
May 8, 2017 · 5:35 pm EDT
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 | May 5, 2017 | M | 10,000 | $74.14 | A | 411,286 | D | |
| Common StockF1 | May 5, 2017 | S | 10,000 | $156.00 | D | 401,286 | D | |
| Common StockF2 | May 5, 2017 | I | 89 | $156.39 | D | 0 | 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) | $74.14 | May 5, 2017 | M | 10,000 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 10,000 | 90,500 | D |
| Common Stock Share EquivalentsF3,F4 | $156.39 | May 5, 2017 | I | 370 | D | — | — | Common Stock | 370 | 0 | I |
Explanation of responses
- F1Represents shares held by a revocable trust of which the reporting person and his spouse are trustees and beneficiaries.
- 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 5/5/2017. 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 5/5/2017. 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.