0001246360-13-004959.txt : 20131113 0001246360-13-004959.hdr.sgml : 20131113 20131113172813 ACCESSION NUMBER: 0001246360-13-004959 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131112 FILED AS OF DATE: 20131113 DATE AS OF CHANGE: 20131113 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: DORGAN DAVID M CENTRAL INDEX KEY: 0001204907 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 131215784 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 2013-11-12 false 0001024478 ROCKWELL AUTOMATION INC ROK 0001204907 DORGAN DAVID M 1201 SOUTH SECOND STREET MILWAUKEE WI 53204 false true false false VP and Controller Common Stock 2013-11-12 4 M false 1750 56.36 A 9745 D Common Stock 2013-11-12 4 M false 6100 63.59 A 15845 D Common Stock 2013-11-12 4 S false 7850 112.8011 D 7995 D Common Stock 2013-11-12 2013-11-13 4 I false 3984.0637 112.95 D 6419.8546 I By Savings Plan Employee Stock Option (Right to Buy) 56.36 2013-11-12 4 M false 1750 0 D 2006-11-07 2015-11-07 Common Stock 1750 0 D Employee Stock Option (Right to Buy) 63.59 2013-11-12 4 M false 6100 0 D 2007-12-06 2016-12-06 Common Stock 6100 0 D Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $112.7810 to $112.8660. 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 1,050 shares 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. 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. Karen A. Balistreri, Attorney-in-fact for David M. Dorgan 2013-11-13