SEC Form 3 · accession 0001246360-19-000117
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Genovesi
Officer — Senior Vice President
Period of report
Jan 1, 2019
Accepted (ET)
Jan 7, 2019 · 12:42 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 | holding | — | — | — | 2,820 | D | ||
| Common StockF3 | holding | — | — | — | 780 | 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 | holding | — | — | — | Dec 2, 2015 | Dec 2, 2024 | Common Stock | 1,200 | — | D |
| Employee stock option (right to buy) | $104.08 | holding | — | — | — | Dec 3, 2016 | Dec 3, 2025 | Common Stock | 3,400 | — | D |
| Employee Stock Option (Right to Buy)F2 | $136.40 | holding | — | — | — | Dec 6, 2017 | Dec 6, 2026 | Common Stock | 3,600 | — | D |
| Employee stock option (right to buy)F2 | $162.16 | holding | — | — | — | Jun 5, 2018 | Jun 5, 2027 | Common Stock | 1,100 | — | D |
| Employee Stock Option (right to buy)F2 | $192.86 | holding | — | — | — | Dec 8, 2018 | Dec 8, 2027 | Common Stock | 3,900 | — | D |
| Employee stock option (right to buy)F2 | $171.46 | holding | — | — | — | Dec 4, 2019 | Dec 4, 2028 | Common Stock | 5,600 | — | D |
Explanation of responses
- F1Includes 2,020 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- F2The option vests in three substantially equal annual installments beginning on the date exercisable.
- F3Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 12/31/2018.