-----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, DE9ftD3ceEuOpGJi+9/e2TjSS4iwZ+HY0+0A1u/X/eqiE6dGYnoYWWJMbs8exFaI ae0siE42DogJ5VA+YCdKvg== 0001240051-03-000089.txt : 20031007 0001240051-03-000089.hdr.sgml : 20031007 20031007175349 ACCESSION NUMBER: 0001240051-03-000089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031006 FILED AS OF DATE: 20031007 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: 03932156 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 X0201 42003-10-06 0001024478 ROCKWELL AUTOMATION INC ROK 0001177270 DAVIS DON H JR 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 1100Chairman and CEOCommon Stock86970DCommon Stock13687.4393IBy Savings PlanEmployee stock option (right to buy)13.77471996-12-062005-12-06Common Stock149571149571DEmployee stock option (right to buy)17.391 41997-12-092006-12-09Common Stock131205131205DEmployee stock option (right to buy)15.5271998-12-032007-12-03Common Stock170000170000DEmployee stock option (right to buy)10.58661999-10-052008-10-05Common Stock396461396461DEmployee stock option (right to buy)20.3492009-10-04Common Stock185234185234DEmp loyee stock option (right to buy)11.60382001-10-022010-10-02Common Stock330000330000DEmployee Stock Option13.402002-10-012011-10-01Common Stock350000350000DEmployee stock option (right to buy)15.502003-10-072012-10-07Common Stock350000350000DEmployee stock option (right to buy)27.752003-10-064A03500000A2004-10-062013-10-06Common Stock350000350000DCommon Stock Share EquivalentsCommon Stock24634.381224634.3812INonqual. Savings Plan39,458 shares are held by Company to implement restrictions on transfer unless and until certain conditions are met.Shares repsented 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 9/30/03. 75,234 shares are currently exercisable and 110,000 shares become exercisable on the date on which the closing price of the shares on the New York Stock Exchange-Composite Transactions shall have exceeded 150% of the Fair Market Value on 10/04/1999, for at least 20 consecutive trading days, or, if earlier, on 10/04/2006.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 09/30/2003. 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. 2003-10-07 -----END PRIVACY-ENHANCED MESSAGE-----