4//SEC Filing
DORGAN DAVID M 4
Accession 0001246360-18-002610
CIK 0001024478other
Filed
Dec 5, 7:00 PM ET
Accepted
Dec 6, 6:07 PM ET
Size
18.6 KB
Accession
0001246360-18-002610
Insider Transaction Report
Form 4
DORGAN DAVID M
VP and Controller
Transactions
- Exercise/Conversion
Performance Shares
2018-12-03−1,520→ 0 totalFrom: 2018-12-03Exp: 2018-12-03→ Common Stock (1,520 underlying) - Sale
Common Stock
2018-12-04$176.18/sh−644$113,459→ 8,389 total - Award
Employee stock option (right to buy)
2018-12-04+2,500→ 2,500 totalExercise: $171.46From: 2019-12-04Exp: 2028-12-04→ Common Stock (2,500 underlying) - Exercise/Conversion
Common Stock
2018-12-03+1,520→ 8,873 total - Award
Common Stock
2018-12-04+160→ 9,033 total - Sale
Common Stock
2018-12-04$176.24/sh−200$35,249→ 8,189 total
Holdings
- 1,679.867(indirect: By Savings Plan)
Common Stock
- 174.3(indirect: Nonqual.Savings Plan)
Common Stock Share Equivalents
→ Common Stock (174.3 underlying)
Footnotes (11)
- [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 11/30/2018. 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.
- [F10]Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $176.2350 to $176.2500. 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.
- [F11]Includes 490 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
- [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 11/30/2018. 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.
- [F5]Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- [F6]Restricted stock award under the Company's 2012 Long-Term Incentives Plan.
- [F7]The option vests in three substantially equal annual installments beginning on the date exercisable.
- [F8]Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/23/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018.
- [F9]Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.21 to $176.18. 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.
Documents
Issuer
ROCKWELL AUTOMATION INC
CIK 0001024478
Entity typeother
Related Parties
1- filerCIK 0001204907
Filing Metadata
- Form type
- 4
- Filed
- Dec 5, 7:00 PM ET
- Accepted
- Dec 6, 6:07 PM ET
- Size
- 18.6 KB