4//SEC Filing
ROCKWELL AUTOMATION INC 4
Accession 0001246360-16-007314
$ROKCIK 0001024478operating
Filed
Dec 5, 7:00 PM ET
Accepted
Dec 6, 10:35 AM ET
Size
12.5 KB
Accession
0001246360-16-007314
Insider Transaction Report
Form 4
HAGERMAN DOUGLAS M
Sr. VP, Gen Counsel and Sec.
Transactions
- Exercise/Conversion
Performance Shares
2016-12-04−260→ 0 totalFrom: 2016-12-04Exp: 2016-12-04→ Common Stock (260 underlying) - Sale
Common Stock
2016-12-05$135.97/sh−592$80,494→ 8,006 total - Exercise/Conversion
Common Stock
2016-12-04+260→ 8,598 total
Holdings
- 211.944(indirect: By Savings Plan)
Common Stock
- 278.947(indirect: Non Qualified Savings Plan)
Common Stock Share Equivalents
→ Common Stock (278.947 underlying)
Footnotes (7)
- [F1]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 11/30/2016. 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.
- [F2]Each unit is the economic equivalent of one share of Company common stock.
- [F3]The share equivalents are payable in cash upon retirement or after termination of employment.
- [F4]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 11/30/2016. 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.
- [F5]Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- [F6]Sale of shares pursuant to Rule 10b5-1 trading plan dated 8/31/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016.
- [F7]Includes 2,030 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
Documents
Issuer
ROCKWELL AUTOMATION INC
CIK 0001024478
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001024478
Filing Metadata
- Form type
- 4
- Filed
- Dec 5, 7:00 PM ET
- Accepted
- Dec 6, 10:35 AM ET
- Size
- 12.5 KB