SEC Form 4 · accession 0001246360-17-002013
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
May 24, 2017
Accepted (ET)
May 25, 2017 · 1:35 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 24, 2017 | M | 4,000 | $104.08 | A | 29,195 | D | |
| Common StockF3 | May 24, 2017 | S | 4,000 | $158.7067 | D | 25,195 | D | |
| Common StockF1 | holding | — | — | — | 19 | 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)F2 | $104.08 | May 24, 2017 | M | 4,000 | D | Dec 3, 2016 | Dec 3, 2025 | Common Stock | 4,000 | 18,700 | 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 3/31/2017.
- F2The option vests in three substantially equal annual installments beginning on the date exercisable.
- F3Includes 4,720 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.