-----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, F1agPqXLnfRRTmQxVdP5XBDt0F/KDzlEsov/G6xKUdzP9q3dV1cFyxW5Fa+IQp+0 a/n5lzaEYXWXVzbd2G8tAA== 0001240051-03-000113.txt : 20031126 0001240051-03-000113.hdr.sgml : 20031126 20031126174146 ACCESSION NUMBER: 0001240051-03-000113 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031125 FILED AS OF DATE: 20031126 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: BLESS MICHAEL A CENTRAL INDEX KEY: 0001204903 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 031027559 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 42003-11-25 0001024478 ROCKWELL AUTOMATION INC ROK 0001204903 BLESS MICHAEL A 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 0100Sr. V. President and CFOCommon Stock2003-11-254S0110033.40D11830.2804DCommon Stock2003-11-254S0840033.37D3430.2804DCommon Stock 2003-11-264F0338633.14D44.2804DCommon Stock 2003-11-264M0200015.527A2044.2804DCommon Stock2003-11-264M0190020.349A3944.2804DCommon Stock 2003-11-264M0330011.6038A7244.2804DCommon Stock 2003-11-264M0493313.40A12177.2804DCommon Stock 2003-11-264M0213315.50A14310.2804DCommon Stock 2003-11-264M0360410.5866A17914.2804DCommon Stock5359.6574IBy Savings Plan Employee stock option (right to buy)15.5272003-11-264M020000D1998-12-032007-12-03Common Stock20000DEmployee stock option (right to buy)10.58662003-11-26 4M036040D1999-10-052008-10-05Common Stock36040D< value>Employee stock option (right to buy)20.3492003-11-264M019000D2009-10-04Common Stock19008250 DEmployee stock option (right to buy)11.60382003-11-264M033000D2001-10-022010-10-02Com mon Stock33000DEmployee Stock Option13.402003-11-264M049330D2002-10-012011-10-01Common Stock493326667DEmployee stock option (right to buy)15.502003-11-264M021330D2003-10-072012-10-07Common Stock213356667DCommon Stock Share E quivalentsCommon Stock2945.03062945.0306INonq. Savings PlanIncludes 274.2804 shares acquired under a broker - administrered DRIP in transactions exempt under Rule 16a-11.Payment of option exercise price by delivery of already - owned sha res of Common Stock.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 10/31/03. 1,900 shares are currently exercisable and 8,250 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 10/04/99, for at least 20 consecutive trading days, or, if earlier, on 10/4/06.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 part icipant'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 Michael A. Bless2003-11-26 -----END PRIVACY-ENHANCED MESSAGE-----