Filing Details
- Accession Number:
- 0001246360-18-002598
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-06 17:35:15
- Reporting Period:
- 2018-12-03
- Accepted Time:
- 2018-12-06 17:35:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1024478 | Rockwell Automation Inc | ROK | Measuring & Controlling Devices, Nec (3829) | 251797617 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1305128 | M John Miller | 1201 South Second Street Milwaukee WI 53204 | Vp And Chief Ip Counsel | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-12-03 | 1,520 | $0.00 | 8,470 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-12-04 | 140 | $0.00 | 8,610 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2018-12-04 | 576 | $176.30 | 8,034 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Shares | Disposition | 2018-12-03 | 1,520 | $0.00 | 1,520 | $0.00 |
| Common Stock | Employee stock option (right to buy) | Acquisiton | 2018-12-04 | 2,300 | $0.00 | 2,300 | $171.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-12-03 | 2018-12-03 | No | 4 | M | Direct |
| 2,300 | 2019-12-04 | 2028-12-04 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 422 | Indirect | By Savings Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Share Equivalents | $0.00 | 96 | 96 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 96 | 96 | Indirect |
Footnotes
- Includes 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.
- Each unit is the economic equivalent of one share of Company common stock.
- The share equivalents are payable in cash upon retirement or after termination of employment.
- Includes 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.
- Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- The option vests in three substantially equal annual installments beginning on the date exercisable.
- Sale of shares pursuant to Rule 10b5-1 trading plan dated 8/29/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018.
- Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.85 to $176.47. 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.
- Includes 1,380 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
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