-----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, ArQPGXMkvqnENJ2AFF4YZOMsymp1zGuP/uPkNkJCL760CpD1CUeDfAMFMEFcjFgd P/0mafIOmbmubQ13asENMA== 0001287504-04-000154.txt : 20041117 0001287504-04-000154.hdr.sgml : 20041117 20041117165846 ACCESSION NUMBER: 0001287504-04-000154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041116 FILED AS OF DATE: 20041117 DATE AS OF CHANGE: 20041117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RUFF ROBERT A CENTRAL INDEX KEY: 0001278047 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 041152738 MAIL ADDRESS: STREET 1: 777 EAST WISCONSIN AVE STE 1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 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 2004-11-16 0001024478 ROCKWELL AUTOMATION INC ROK 0001278047 RUFF ROBERT A 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 0 1 0 0 Senior Vice President Common Stock 2004-11-16 4 M 0 8334 13.40 A 13334 D Common Stock 2004-11-16 4 S 0 8334 D 5000 D Common Stock 2004-11-16 4 M 0 1600 20.42 A 6600 D Common Stock 2004-11-16 4 M 0 900 27.75 A 7500 D Common Stock 4187.7254 I By Savings Plan Employee Stock Option (right to buy) 20.349 2000-10-04 2009-10-04 Common Stock 13158 13158 D Employee Stock Option (right to buy) 13.40 2004-11-16 4 M 0 8334 0 D 2002-10-01 2011-10-01 Common Stock 8334 0 D Employee Stock Option (right to buy) 15.50 2003-10-07 2012-10-07 Common Stock 10000 10000 D Employee Stock Option (right to buy) 20.42 2004-11-16 4 M 0 1600 0 D 2003-12-04 2012-12-04 Common Stock 1600 13400 D Employee Stock Option (right to buy) 27.75 2004-11-16 4 M 0 900 0 D 2004-10-06 2013-10-06 Common Stock 900 39100 D Employee Stock Option (right to buy) 43.90 2005-11-08 2014-11-08 Common Stock 35000 35000 D Common Stock Share Equivalents Common Stock 268.1463 268.1463 I Nonqual. Savings Plan Sale prices ranged from $45.30 to $45.46. 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 11/01/2004. The option vests in three substantially equal annual installments beginning on the date exercisable. 3,400 shares are currently exercisable and 5,000 shares vest on each of 12/04/2004 and 12/04/2005. 12,433 shares are currently exercisable, 13,333 shares vest on 10/06/05 and 13,334 shares vest on 10/06/06. Share equivalents represented by Company stock fund units credited under the Company's nonqualified savings plan which were acquired on a periodic basis pursuant to the Plan, based on information furnished by the Plan Administrator as of 11/01/2004. 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 Robert A. Ruff 2004-11-17 -----END PRIVACY-ENHANCED MESSAGE-----