0001246360-13-004942.txt : 20131112 0001246360-13-004942.hdr.sgml : 20131111 20131112174208 ACCESSION NUMBER: 0001246360-13-004942 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131111 FILED AS OF DATE: 20131112 DATE AS OF CHANGE: 20131112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWELL AUTOMATION INC CENTRAL INDEX KEY: 0001024478 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 251797617 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 1201 SOUTH 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 BUSINESS PHONE: 414-382-2000 MAIL ADDRESS: STREET 1: 1201 SOUTH 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL AUTOMATION INC DATE OF NAME CHANGE: 20020507 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL INTERNATIONAL CORP DATE OF NAME CHANGE: 19970106 FORMER COMPANY: FORMER CONFORMED NAME: NEW ROCKWELL INTERNATIONAL CORP DATE OF NAME CHANGE: 19961009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAGERMAN DOUGLAS M CENTRAL INDEX KEY: 0001287504 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 131211616 MAIL ADDRESS: STREET 1: C/O ROCKWELL AUTOMATION, INC. STREET 2: 1201 SOUTH SECOND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 4 1 form.xml PRIMARY DOCUMENT X0306 4 2013-11-11 false 0001024478 ROCKWELL AUTOMATION INC ROK 0001287504 HAGERMAN DOUGLAS M 1201 SOUTH SECOND STREET MILWAUKEE WI 53204 false true false false Sr. VP, Gen Counsel and Sec. Common Stock 2013-11-11 4 M false 23550 63.59 A 66272 D Common Stock 2013-11-11 4 M false 32355 29.37 A 98627 D Common Stock 2013-11-11 4 S false 55905 112.679 D 42722 D Common Stock 2013-11-11 5 G false 1000 0 D 41722 D Common Stock 2013-11-11 2013-11-12 4 I false 7402.7005 112.69 D 0 I By Savings Plan Employee Stock Option (Right to Buy) 63.59 2013-11-11 4 M false 23550 0 D 2007-12-06 2016-12-06 Common Stock 23550 0 D Employee Stock Option (Right to Buy) 29.37 2013-11-11 4 M false 32355 0 D 2009-12-03 2018-12-03 Common Stock 32355 0 D Common Stock Share Equivalents 0 2013-11-11 2013-11-12 4 I false 2836.0894 112.69 D Common Stock 0 0 I Non Qualified Savings Plan Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $112.465 to $113.135. 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. 4,360 shares are held by Company to implement restrictions on transfer unless and until certain conditions are met. 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 10/31/2013. 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. Includes shares 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 10/31/2013. 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. The share equivalents are payable in cash upon retirement or after termination of employment. The share equivalents are payable in cash upon retirement or after termination of employment Karen A. Balistreri, Attorney-in-fact for Douglas M. Hagerman 2013-11-12