-----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, PMi4/kUh17o9gyT/WTrsY64EENPHLui21EFTHntPPUc7YMPONMvblIjjGIX+n5M8 0gL4hwu55ST96fOjsk0ZDw== 0001240051-03-000116.txt : 20031210 0001240051-03-000116.hdr.sgml : 20031210 20031210152501 ACCESSION NUMBER: 0001240051-03-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031209 FILED AS OF DATE: 20031210 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: 031047263 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 42003-12-09 0001024478 ROCKWELL AUTOMATION INC ROK 0001177270 DAVIS DON H JR 777 EAST WISCONSIN AVENUE SUITE 1400 MILWAUKEE WI 53202 1100Chairman and CEOCommon Stock2003-12-094M09980010.5866A189999DCommon Stock2003-12-094S09980034.1869D90199DCommon Stock13644.2399IBy Savings PlanEmployee stock option (right to buy)13.77471996-12-062005-12-06Common Stock1495711 49571DEmployee stock option (right to buy)17.39141997-12-092006-12-09Common Stock129380129380DEmployee stock option (right to buy)15.5271998-12-032007-12-03Common Stock168000168000DEmployee stock option (right to buy)10.58662003-12-09 4M0998000D1999-10-052008-10-05Common Stock998000DEmployee stock option (right to buy)20.3492000-10-042009-10-04Common Stock185234185234DEmployee stock option (right to buy)11.6038200 1-10-022010-10-02Common Stock330000330000DEmployee stock option (right to buy)13.402002-10-012011-10-01Common Stock350000350000DEmployee stock option (right to buy)15.502003-10-072012-10-07Common Stock350000350000DEmployee stock option (right to buy)27.752004-10-062013-10-06Common Stock350000350000DC ommon Stock Share EquivalentsCommon Stock25199.487225199.4872INonqual. Savings Plan39,458 shares are held by Company to implement restrictions on transfer unless and until certain conditions are met.Average price per share sold; actual s ale prices ranged from $34.00 to $34.38.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 12/1/03. 233,333 shares are currently exercisable and 116,667 shares become exercisable on 10/1/2004.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 12/1/2003. 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 re ference 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. 2003-12-10 -----END PRIVACY-ENHANCED MESSAGE-----