SEC Form 4 · accession 0001246360-18-002606
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven W. Etzel
Officer — VP and Treasurer
Period of report
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 6:07 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 StockF5 | Dec 3, 2018 | M | 1,700 | $0.00 | A | 8,968 | D | |
| Common Stock | Dec 4, 2018 | A | 160 | $0.00 | A | 9,128 | D | |
| Common StockF9,F10 | Dec 4, 2018 | S | 645 | $175.8954 | D | 8,483 | D | |
| Common StockF1 | holding | — | — | — | 646 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF5 | — | Dec 3, 2018 | M | 1,700 | D | Dec 3, 2018 | Dec 3, 2018 | Common Stock | 1,700 | 0 | D |
| Employee stock option (right to buy)F7 | $171.46 | Dec 4, 2018 | A | 2,500 | A | Dec 4, 2019 | Dec 4, 2028 | Common Stock | 2,500 | 2,500 | D |
| Common Stock Share EquivalentsF4,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 116 | 116 | I |
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 11/30/2018. 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.
- F10Includes 500 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F2Each unit is the economic equivalent of one share of Company common stock.
- F3The share equivalents are payable in cash upon retirement or after termination of employment.
- F4Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 11/30/2018. 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.
- F5Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- F6Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- F7The option vests in three substantially equal annual installments beginning on the date exercisable.
- F8Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/23/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018.
- F9Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.67 to $175.98. 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.