-----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, FtWsTk2YCz+sRLufRPkzQRJ+oTmJwWNV1eC2BtsPheWEfjOeLpObrQi4RsX28NJb 9kkfr1fDlivjVGE4dLmWNA== 0001240051-03-000090.txt : 20031007 0001240051-03-000090.hdr.sgml : 20031007 20031007175428 ACCESSION NUMBER: 0001240051-03-000090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031006 FILED AS OF DATE: 20031007 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 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: 03932157 BUSINESS ADDRESS: STREET 1: C/O ROCKWELL AUTOMATION INC STREET 2: 777 E. WISCONSIN AVE #1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142125299 MAIL ADDRESS: STREET 1: C/O ROCKWELL INTERNATIONAL INC STREET 2: 777 E. WISCONSIN AVE #1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-10-06 0001024478 ROCKWELL AUTOMATION INC ROK 0001204907 DORGAN DAVID M 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 0100 Vice Pres. and ControllerCommon Stock3266.8049ISavings PlanEmployee Stock Option (right to buy)15.62781999-06-262008-06-26Common Stock25802580DEmployee Stock Option (right to buy)12.48211999-09-022008-09-02Common Stock21672167DEmployee Stock Option (right to buy)20.3492000-10-042009-10-04Common Stock58055805DEmployee Stock Option (right to buy)11.60382001-10-022010-10-02Common Stock 89018901DEmployee Stock Option (right to buy)13.402002-10-012001-10-01Common Stock1200012000DEmployee Stock Option (right to buy)15.502003-10-072012-10-07Common Stock1500015000DEmployee Stock 27.752003-10-064A0200000A2004-10-062003-10-06Common Stock2000020000DShares 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 09/30/2003.3,870 shares are currently exercisable and 1,935 shares become exercisable on the date on which t he 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.K. A. Balistreri, Attorney-in-Fact for David M. Dorgan2003-10-07 -----END PRIVACY-ENHANCED MESSAGE-----