SEC Form 4 · accession 0001246360-17-003301
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick P. Goris
Officer — Sr. VP and CFO
Period of report
Dec 8, 2017
Accepted (ET)
Dec 12, 2017 · 10:56 am 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 StockF3,F4 | Dec 8, 2017 | A | 1,020 | $0.00 | A | 6,951 | D | |
| Common StockF5,F6,F4 | Dec 8, 2017 | S | 145 | $192.3638 | D | 6,806 | D | |
| Common StockF1 | holding | — | — | — | 1,462 | 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)F2 | $192.86 | Dec 8, 2017 | A | 16,500 | A | Dec 8, 2018 | Dec 8, 2027 | Common Stock | 16,500 | 16,500 | 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 11/30/2017.
- F2The option vests in three substantially equal annual installments beginning on the date exercisable.
- F3Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- F4Includes 2,420 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F5Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $192.10 to $192.95. 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.
- F6Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/18/2017 to cover taxes due on restricted stock and performance shares that vested on 12/02/2017.