-----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, UnzEg9tbCg0793uQLZBWUmHEAFl/IdirrqrVq1fmJIJPx4IElVroktUVxgSnVCPF EQ4it70QtZAbR5ES1DLeNw== 0001240051-03-000110.txt : 20031125 0001240051-03-000110.hdr.sgml : 20031125 20031125102639 ACCESSION NUMBER: 0001240051-03-000110 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: MULLANY THOMAS J CENTRAL INDEX KEY: 0001204910 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 031022143 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 0001204910 MULLANY THOMAS J 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 0100 Vice Pres. and TreasurerCommon Stock2003-11-244M0242913.7747A2429DCommon Stock2003-11-244M0440011.6038A6829DCommon Stock < /value>2003-11-244S0102933.25D5800DCommon Stock2003-11-244S020033.24D5600DCommon Stock2003-11-244S0240033.23D3200DCommon Stock2003-11-244S0320033.22D< /transactionAcquiredDisposedCode>0DCommon Stock8578.9061IBy Savings PlanEmployee stock option (right to buy)13.77472003-11-244M024290D1996-12-062005-12-06Common Stock24290DEmployee stock option (right to buy)17.39141997-12-092006-12-09Common Stock25102510DEmployee stock option (right to buy)15.62781999-06-262008-06-26Common Stock26002600DEmployee stock option (right to buy)10.58661999-10-052008-10-05Common Stock18021802DEmployee stock option (right to buy)20.3492009-10-04Common Stock90009000DEmployee stock option (right to buy)11.60382003-11-244M044000D2001-10-022010-10-02Common Stock44002200DEmployee stock option (right to buy)13.402002-10-012011-10-01Common Stock2200022000DEmployee stock option (right to buy)15.502003-10-072012-10-07Common Stock2500025000DEmployee stock option (right to buy)27.752004-10-062013-10-06Common Stock2500025000DCommon Stock Share EquivalentsCommon Stock70.152370.1523INonqual. 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 10/31/03. 6,000 shares are currently exercisable and 3,000 shares become exercisable on the date on which the closing price of the shares on the New York Stock Exchange-Composite Tra nsactions 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 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 Thomas J. Mullany2003-11-25 -----END PRIVACY-ENHANCED MESSAGE-----