SEC Form 4 · accession 0001246360-17-002468
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith D Nosbusch
Director
Period of report
Jul 31, 2017
Accepted (ET)
Aug 2, 2017 · 5:07 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 | Jul 31, 2017 | M | 10,000 | $74.14 | A | 411,286 | D | |
| Common Stock | Jul 31, 2017 | S | 10,000 | $165.00 | D | 401,286 | D | |
| Common Stock | Aug 2, 2017 | M | 10,000 | $74.14 | A | 411,286 | D | |
| Common StockF2 | Aug 2, 2017 | S | 10,000 | $166.00 | D | 401,286 | 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)F1 | $74.14 | Jul 31, 2017 | M | 10,000 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 10,000 | 20,500 | D |
| Employee Stock Option (Right to Buy)F1 | $74.14 | Aug 2, 2017 | M | 10,000 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 10,000 | 10,500 | D |
Explanation of responses
- F1The option vests in three substantially equal annual installments beginning on the date exercisable.
- F2Represents shares held by a revocable trust of which the reporting person and his wife are trustees and beneficiaries.