-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FAc7hYHxWFIspScdT4l3e7WDkvs50KHy2uzZQju33ShW6IMGJC4f/8zKUFvhwQgz NdhypuMZsCTqbDCzHO6MgA== 0001287504-04-000107.txt : 20041104 0001287504-04-000107.hdr.sgml : 20041104 20041104105214 ACCESSION NUMBER: 0001287504-04-000107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041102 FILED AS OF DATE: 20041104 DATE AS OF CHANGE: 20041104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DAVIS DON H JR CENTRAL INDEX KEY: 0001177270 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 041118383 BUSINESS ADDRESS: STREET 1: C/O ROCKWELL AUTOMATION STREET 2: 777 EAST WISCONSIN AVENUE STE 1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142125377 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: 777 EAST WISCONSIN AVENUE SUITE 1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-212-5299 MAIL ADDRESS: STREET 1: 777 EAST WISCONSIN AVENUE SUITE 1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 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 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2004-11-02 0001024478 ROCKWELL AUTOMATION INC ROK 0001177270 DAVIS DON H JR 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 1 1 0 0 Chairman Common Stock 2004-11-02 4 M 0 50000 13.40 A 153332 D Common Stock 2004-11-02 4 S 0 50000 42.00 D 103332 D Common Stock 2004-11-02 4 M 0 20400 13.40 A 20400 I By Davis Family Limited Partnership Common Stock 2004-11-02 4 S 0 20400 42.00 D 0 I By Davis Family Limited Partnership Common Stock 14342.8814 I By Savings Plan Employee stock option (right to buy) 20.349 2000-10-04 2009-10-04 Common Stock 133334 133334 D Employee stock option (right to buy) 20.349 2000-10-04 2009-10-04 Common Stock 50000 50000 I By Davis Family Limited Partnership Employee stock option (right to buy) 13.40 2004-11-02 4 M 0 50000 0 D 2002-10-01 2011-10-01 Common Stock 50000 145067 D Employee stock option (right to buy) 13.40 2004-11-02 4 M 0 20400 0 D 2002-10-01 2011-10-01 Common Stock 20400 75000 I By Davis Family Limited Partnership Employee stock option (right to buy) 15.50 2003-10-07 2012-10-07 Common Stock 235467 235467 D Employee stock option (right to buy) 15.50 2003-10-07 2012-10-07 Common Stock 114533 114533 I By Davis Family Limited Partnership Employee stock option (right to buy) 27.75 2004-10-06 2013-10-06 Common Stock 350000 350000 D Common Stock Share Equivalents Common Stock 26928.9494 26928.9494 I Nonqual. Savings Plan 39,458 shares are held by Company to implement restrictions on transfer unless and until certain conditions are met. Sales were effected pursuant to a Rule 10b5-1 trading plan established for estate planning and diversification purposes. Reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Shares represented by Company stock fund units under the Company's Savings Plan which were acquired on a periodic basis pursuant to the Plan, based on information furnished by the Plan Administrator as of 9/30/2004. 118,799 shares are currently exercisable and 116,668 shares become exercisable on 10/07/05. The option vests in three substantially equal annual installments beginning on the date exercisable. Share equivalents represented by Company stock fund units credited under the Company's nonqualified savings plan based on information furnished by the Plan Administrator as of 9/30/2004. The number of share equivalents represented by the balance of a participant's Company stock fund account may not exactly equal the number of share equivalents represented by a prior balance plus additions due to variances 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. K. A. Balistreri, Attorney-in-Fact for Don H. Davis, Jr. 2004-11-03 -----END PRIVACY-ENHANCED MESSAGE-----