SEC Form 4/A · accession 0001246360-17-002817
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
Feb 13, 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 | Feb 13, 2017 | M | 2,100 | $46.16 | A | 12,555 | D | |
| Common StockF2,F1,F3 | Feb 13, 2017 | S | 4,100 | $152.9913 | 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) | $46.16 | Feb 13, 2017 | M | 2,100 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 2,100 | 0 | D |
Explanation of responses
- F1Includes 2,100 shares that were originally reported as acquired in a separate transaction but inadvertently omitted from the final total amount of shares beneficially owned following the reported transactions because of an administrative error.
- F2Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $152.7506 to $153.2206. 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.
- F3Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.