SEC Form 4 · accession 0001246360-17-003182
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith D Nosbusch
Director
Period of report
Dec 2, 2017
Accepted (ET)
Dec 4, 2017 · 6:14 pm EST
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,F2 | Dec 2, 2017 | M | 26,242 | $0.00 | A | 419,348 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF1 | — | Dec 2, 2017 | M | 26,242 | D | Dec 2, 2017 | Dec 2, 2017 | Common Stock | 26,242 | 0 | D |
Explanation of responses
- F1Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F2Represents shares held by a revocable trust of which the reporting person and his wife are trustees and beneficiaries.