Filing Details
- Accession Number:
- 0001246360-19-002655
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-10 17:42:11
- Reporting Period:
- 2019-12-06
- Accepted Time:
- 2019-12-10 17:42:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1791766 | Ernest Nicolas | 1201 South Second Street Milwaukee WI 53204 | Svp, Operations & Eng Services | 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 | 2019-12-06 | 239 | $0.00 | 5,619 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-09 | 121 | $199.02 | 5,498 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2019-12-06 | 239 | $0.00 | 239 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-12-06 | 2019-12-06 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 37 | Indirect | By wife |
| Common Stock | 437 | 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 | 48 | 48 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 48 | 48 | Direct |
Footnotes
- Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 10/31/2019.
- 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.
- Share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan based on information furnished by the Plan Administrator as of 10/31/2019.
- Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- Sale of shares pursuant to Rule 10b5-1 trading plan entered into on 11/25/2019 to cover taxes due on restricted stock and performance shares that vested on 12/06/2019.
- Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $198.88 to $199.045. 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 4,340 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
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