SEC Form 4 · accession 0001246360-18-002594
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 3, 2018
Accepted (ET)
Dec 6, 2018 · 5:07 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 | Dec 3, 2018 | M | 16,892 | $0.00 | A | 430,330 | D | |
| Common StockF3,F4 | Dec 4, 2018 | S | 8,024 | $176.2426 | D | 422,306 | 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 3, 2018 | M | 16,892 | D | Dec 3, 2018 | Dec 3, 2018 | Common Stock | 16,892 | 0 | D |
Explanation of responses
- F1Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F2Sale of shares pursuant to Rule 10b5-1 trading plan dated 2/28/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018.
- F3Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.5850 to $176.25. 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.
- F4Represents shares held by a revocable trust of which the reporting and his wife are trustees and beneficiaries.