SEC Form 4/A · accession 0001246360-17-002816
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David M Dorgan
Officer — VP and Controller
Period of report
Aug 16, 2017
Accepted (ET)
Oct 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 StockF1 | Aug 16, 2017 | M | 3,000 | $69.57 | A | 11,455 | D | |
| Common StockF1,F2 | Aug 16, 2017 | S | 3,000 | $165.0535 | D | 8,455 | 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) | $69.57 | Aug 16, 2017 | M | 3,000 | D | Dec 7, 2011 | Dec 7, 2020 | Common Stock | 3,000 | 3,500 | D |
Explanation of responses
- F1Amended to include 2,100 shares that were omitted from the total amount beneficially owned as last reported for this person because of an administrative error.
- F2Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.