SEC Form 4 · accession 0001246360-18-000746
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P McDermott
Officer — Sr. Vice President
Period of report
Feb 16, 2018
Accepted (ET)
Feb 20, 2018 · 2:28 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 16, 2018 | M | 1,950 | $108.89 | A | 40,253 | D | |
| Common StockF1,F2 | Feb 16, 2018 | S | 1,950 | $187.0838 | D | 38,303 | 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) | $108.89 | Feb 16, 2018 | M | 1,950 | D | Dec 4, 2014 | Dec 4, 2023 | Common Stock | 1,950 | 9,050 | D |
Explanation of responses
- F1Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $187.00 to $187.37. 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.
- F2Includes 2,670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.