-----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, C/XnFBKBjqGq90NXPKm6gli16i+12yw1aPQMIO1MPeIjYbbBnL4kDEFg7oS63q0V ZxNMkGsNpW7wAsecA/l3jg== 0001240051-03-000109.txt : 20031125 0001240051-03-000109.hdr.sgml : 20031125 20031125102517 ACCESSION NUMBER: 0001240051-03-000109 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031124 FILED AS OF DATE: 20031125 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: O SHAUGHNESSY JAMES P CENTRAL INDEX KEY: 0001204913 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 031022140 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 42003-11-24 0001024478 ROCKWELL AUTOMATION INC ROK 0001204913 O SHAUGHNESSY JAMES P 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 0100 V. Pres. and Chief I P Coun.Common Stock2003-11-244S090031.91D6400DCommon Stock2003-11-244S010031.95D6300DCommon Stock 1565.8734IBy Savings PlanEmployee stock option (right to buy)17.39141997-12-092006-12-09Common Stock1369013690DEmployee stock option (right to buy)16.2781998-07-022007-07-02Common Stock1140911409DEmployee st ock option (right to buy)15.5271998-12-032007-12-03Common Stock1000010000DEmployee stock option (right to buy)10.58661999-10-052008-10-05Common Stock1221512215DEmployee stock option (right to buy)20.3492009-10-04Common Stock1875018750DEmployee stock option (right to buy)11.60382001-10-022010-10-02Common Stock1770017700D< /ownershipNature>Employee stock option (right to buy)13.402002-10-012011-10-01Common Stock2750027500DEmployee stock option (right to buy)15.50 2003-10-072012-10-07Common Stock2750027500DEmployee stock option (right to buy)27.752004-10-062013-10-06Common Stock2750027500DCommon Stock Share EquivalentsCommon Stock1074.21451074.2145INonqual. Savings PlanShares 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 10/31/2003.12,500 shares are currently exercisable and 6,250 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 repr esented by Company stock fund units credited under the Company's nonqualified savings plan based on information furnished by the Plan Administrator as of 10/31/2003. 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 James P. O'Shaughnessy2003-11-25 -----END PRIVACY-ENHANCED MESSAGE-----