SEC Form 4 · accession 0001246360-18-001818
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Wlodarczyk
Officer — SVP
Period of report
Jul 2, 2018
Accepted (ET)
Jul 3, 2018 · 10:49 am 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 StockF3,F4 | Jul 2, 2018 | A | 360 | $0.00 | A | 3,820 | D | |
| Common StockF1 | holding | — | — | — | 1,148 | 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 | $167.69 | Jul 2, 2018 | A | 4,900 | A | Jul 2, 2019 | Jul 2, 2028 | Common Stock | 4,900 | 4,900 | D |
Explanation of responses
- F1Shares represented by Company stock fund units acquired under the Company Savings Plan by the reporting person and his spouse based on information furnished by the Plan Administrator as of 6/30/2018.
- 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 1,010 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.