SEC Form 4 · accession 0001246360-18-000703
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John M Miller
Officer — VP and Chief IP Counsel
Period of report
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 4:36 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 Stock | Feb 15, 2018 | M | 800 | $115.69 | A | 7,523 | D | |
| Common Stock | Feb 15, 2018 | M | 933 | $104.08 | A | 8,456 | D | |
| Common Stock | Feb 15, 2018 | M | 900 | $136.40 | A | 9,356 | D | |
| Common StockF3 | Feb 15, 2018 | S | 4,431 | $187.7672 | D | 4,925 | D | |
| Common StockF4 | Feb 15, 2018 | F | 375 | $187.58 | D | 4,550 | D | |
| Common StockF1 | holding | — | — | — | 416 | 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 | $115.69 | Feb 15, 2018 | M | 800 | D | Dec 2, 2015 | Dec 2, 2024 | Common Stock | 800 | 800 | D |
| Employee Stock Option (Right to Buy)F2 | $104.08 | Feb 15, 2018 | M | 933 | D | Dec 3, 2016 | Dec 3, 2025 | Common Stock | 933 | 1,834 | D |
| Employee Stock Option (Right to Buy)F2 | $136.40 | Feb 15, 2018 | M | 900 | D | Dec 6, 2017 | Dec 6, 2026 | Common Stock | 900 | 2,500 | D |
Explanation of responses
- F1Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 12/31/2017. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
- F2The option vests in three substantially equal annual installments beginning on the date exercisable.
- F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $187.7641 to $187.7717. 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.
- F4Includes 1,590 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.