SEC Form 3 · accession 0001246360-19-000119
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Donato
Officer — Senior Vice President
Period of report
Jan 1, 2019
Accepted (ET)
Jan 7, 2019 · 1:49 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 | holding | — | — | — | 2,150 | 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)F1 | $115.69 | holding | — | — | — | Dec 2, 2015 | Dec 2, 2024 | Common Stock | 1,000 | — | D |
| Employee stock option (right to buy)F1 | $104.08 | holding | — | — | — | Dec 3, 2016 | Dec 3, 2025 | Common Stock | 3,100 | — | D |
| Employee Stock Option (Right to Buy)F1 | $136.40 | holding | — | — | — | Dec 6, 2017 | Dec 6, 2026 | Common Stock | 3,400 | — | D |
| Employee Stock Option (right to buy)F1 | $192.86 | holding | — | — | — | Dec 8, 2018 | Dec 8, 2027 | Common Stock | 3,900 | — | D |
| Employee stock option (right to buy)F1 | $171.46 | holding | — | — | — | Dec 4, 2019 | Dec 4, 2028 | Common Stock | 5,600 | — | D |
| Restricted stock unitsF2 | — | holding | — | — | — | Dec 6, 2019 | Dec 6, 2019 | Common Stock | 210 | — | D |
| Restricted stock unitsF2 | — | holding | — | — | — | Dec 8, 2020 | Dec 8, 2020 | Common Stock | 240 | — | D |
| Restricted stock unitsF2 | — | holding | — | — | — | Dec 4, 2021 | Dec 4, 2021 | Common Stock | 350 | — | D |
Explanation of responses
- F1The option vests in three substantially equal annual installments beginning on the date exercisable.
- F2Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.