4//SEC Filing
Schmitt Susan 4
Accession 0001246360-17-003205
CIK 0001024478other
Filed
Dec 4, 7:00 PM ET
Accepted
Dec 5, 2:07 PM ET
Size
16.1 KB
Accession
0001246360-17-003205
Insider Transaction Report
Form 4
Schmitt Susan
Sr. VP, HR
Transactions
- Exercise/Conversion
Common Stock
2017-12-02+4,432→ 13,998 total - Exercise/Conversion
Performance Shares
2017-12-02−4,432→ 0 totalFrom: 2017-12-02Exp: 2017-12-02→ Common Stock (4,432 underlying) - Gift
Common Stock
2017-11-30−58→ 9,566 total - Sale
Common Stock
2017-12-04$191.60/sh−2,381$456,203→ 11,617 total - Sale
Common Stock
2017-12-04$192.30/sh−2,701$519,397→ 8,916 total
Holdings
- 2,414.893(indirect: By Savings Plan)
Common Stock
- 1,091.334(indirect: Non Qualified Savings Plan)
Common Stock Share Equivalents
→ Common Stock (1,091.334 underlying)
Footnotes (9)
- [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 11/30/2017. 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 11/30/2017. 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]Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $191.03 to $192.015. 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.
- [F7]Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/22/2017 to cover taxes due on restricted stock and performance shares that vested on 12/02/2017.
- [F8]Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $192.10 to $192.59. 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.
- [F9]Includes 1,660 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 typeother
Related Parties
1- filerCIK 0001405747
Filing Metadata
- Form type
- 4
- Filed
- Dec 4, 7:00 PM ET
- Accepted
- Dec 5, 2:07 PM ET
- Size
- 16.1 KB