SEC Form 4 · accession 0001246360-17-002759
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blake D. Moret
Officer — President and CEO · Director
Period of report
Sep 12, 2017
Accepted (ET)
Sep 14, 2017 · 9:21 am 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 | Sep 12, 2017 | M | 300 | $69.57 | A | 21,426 | D | |
| Common StockF2,F3 | Sep 12, 2017 | S | 300 | $170.0833 | D | 21,126 | D | |
| Common Stock | Sep 13, 2017 | M | 5,377 | $69.57 | A | 26,503 | D | |
| Common StockF3,F4,F5 | Sep 13, 2017 | S | 5,377 | $170.0972 | D | 21,126 | D | |
| Common StockF1 | holding | — | — | — | 167 | 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 | Sep 12, 2017 | M | 300 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 300 | 7,100 | D |
| Employee Stock Option (Right to Buy) | $69.57 | Sep 13, 2017 | M | 5,377 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 5,377 | 1,723 | 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 6/30/2017.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $170.00 to $170.25. 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.
- F3Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on February 22, 2017.
- F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $170.00 to $170.43. 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.
- F5Includes 8,050 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.