SEC Form 4 · accession 0001246360-19-000178
ROCKWELL AUTOMATION, INC · ROK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen L. Keegans
Officer — Senior Vice President, HR
Period of report
Jan 11, 2019
Accepted (ET)
Jan 14, 2019 · 7:14 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 StockF3 | Jan 11, 2019 | A | 2,250 | $0.00 | A | 2,250 | 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 | $155.85 | Jan 11, 2019 | A | 12,300 | A | Jan 11, 2020 | Jan 11, 2029 | Common Stock | 12,300 | 12,300 | D |
Explanation of responses
- F1The option vests in three substantially equal annual installments beginning on the date exercisable.
- F2Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- F3Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.