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As Of Filer Filing For·On·As Docs:Size 2/06/13 Rockwell Automation, Inc 10-Q 12/31/12 64:5.6M |
Document/Exhibit Description Pages Size 1: 10-Q Quarterly Report HTML 394K 2: EX-10.1 Material Contract HTML 76K 3: EX-10.2 Material Contract HTML 32K 4: EX-10.3 Material Contract HTML 35K 5: EX-15 Letter re: Unaudited Interim Financial Information HTML 21K 6: EX-31.1 Certification -- §302 - SOA'02 HTML 24K 7: EX-31.2 Certification -- §302 - SOA'02 HTML 24K 8: EX-32.1 Certification -- §906 - SOA'02 HTML 19K 9: EX-32.2 Certification -- §906 - SOA'02 HTML 19K 44: R1 Document and Entity Information HTML 37K 34: R2 Condensed Consolidated Balance Sheet (Unaudited) HTML 139K 42: R3 Condensed Consolidated Balance Sheet (Unaudited) HTML 26K (Parenthetical) 46: R4 Condensed Consolidated Statement of Operations HTML 89K (Unaudited) 59: R5 Condensed Consolidated Statement of Comprehensive HTML 45K Income (Unaudited) 36: R6 Condensed Consolidated Statement of Cash Flows HTML 144K (Unaudited) 41: R7 Basis of Presentation and Accounting Policies HTML 44K 31: R8 Share-Based Compensation HTML 40K 23: R9 Acquisitions HTML 35K 60: R10 Inventories HTML 30K 48: R11 Goodwill and Other Intangible Assets HTML 82K 47: R12 Short-term Debt HTML 24K 52: R13 Other Current Liabilities HTML 32K 53: R14 Product Warranty Obligations HTML 32K 51: R15 Derivative Instruments and Fair Value Measurement HTML 114K 54: R16 Retirement Benefits HTML 52K 43: R17 Commitments and Contingent Liabilities HTML 30K 45: R18 Income Taxes HTML 30K 50: R19 Business Segment Information HTML 49K 64: R20 Basis of Presentation and Accounting Policies HTML 49K (Policies) 56: R21 Basis of Presentation and Accounting Policies HTML 38K (Tables) 38: R22 Share-Based Compensation (Tables) HTML 35K 49: R23 Acquisitions (Tables) HTML 26K 40: R24 Inventories (Tables) HTML 28K 19: R25 Goodwill and Other Intangible Assets (Tables) HTML 79K 57: R26 Other Current Liabilities (Tables) HTML 32K 61: R27 Product Warranty Obligations (Tables) HTML 31K 27: R28 Derivative Instruments and Fair Value Measurement HTML 117K (Tables) 26: R29 Retirement Benefits (Tables) HTML 44K 29: R30 Business Segment Information (Tables) HTML 43K 30: R31 Basis of Presentation and Accounting Policies HTML 65K (Details) 32: R32 Basis of Presentation and Accounting Policies HTML 30K (Details Textual) 18: R33 Share-Based Compensation (Details) HTML 43K 55: R34 Acquisitions (Details) HTML 38K 37: R35 Inventories (Details) HTML 31K 39: R36 Goodwill and Other Intangible Assets (Details) HTML 36K 21: R37 Goodwill and Other Intangible Assets (Details 1) HTML 57K 63: R38 Short-term Debt (Details) HTML 26K 16: R39 Other Current Liabilities (Details) HTML 47K 33: R40 Product Warranty Obligations (Details) HTML 31K 58: R41 Derivative Instruments and Fair Value Measurement HTML 41K (Details) 20: R42 Derivative Instruments and Fair Value Measurement HTML 44K (Details 1) 25: R43 Derivative Instruments and Fair Value Measurment HTML 73K (Details 2) 28: R44 Retirement Benefits (Details) HTML 49K 35: R45 Income Taxes (Details) HTML 40K 17: R46 Business Segment Information (Details) HTML 31K 62: XML IDEA XML File -- Filing Summary XML 85K 24: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 759K 10: EX-101.INS XBRL Instance -- rok-20121231 XML 1.07M 12: EX-101.CAL XBRL Calculations -- rok-20121231_cal XML 174K 13: EX-101.DEF XBRL Definitions -- rok-20121231_def XML 339K 14: EX-101.LAB XBRL Labels -- rok-20121231_lab XML 1.00M 15: EX-101.PRE XBRL Presentations -- rok-20121231_pre XML 536K 11: EX-101.SCH XBRL Schema -- rok-20121231 XSD 100K 22: ZIP XBRL Zipped Folder -- 0001024478-13-000009-xbrl Zip 128K
Q1FY13 ROK EX 10.1 |
Date
of Grant | Type of Grant | Number of Shares | Option Price |
12/6/2012 | ISO | $ | |
12/6/2012 | NQ | $ |
(a) | during your employment with the Corporation or a Subsidiary (as such terms are defined in the Plan) and for two years after the date of your retirement or other termination of such employment, you shall not (i) directly or indirectly, except with the approval of the Corporation,
engage or otherwise participate in any business that is competitive with any significant line of business of the Corporation or any of its Subsidiaries (otherwise than through ownership of not more than 5% of the voting securities of any such competitive business); or (ii) solicit or induce, or cause any other person or entity to solicit, any employee of the Corporation or any of its Subsidiaries to leave his or her employment with the Corporation or any of its Subsidiaries to accept employment or other engagement with any other person or entity; and |
(b) | in
the event that you breach this undertaking, in addition to any and all other remedies the Corporation may have, (i) the Corporation shall have the right to determine by written notice to you that any of the Options then outstanding shall immediately lapse and cease to be exercisable; and (ii) you agree to pay the Corporation upon written demand the amount of the excess of the Fair Market Value (as defined in the Plan) of any shares of Stock (as defined in the Plan) you acquired upon exercise of any of the Options (other than Options exercised more than two years before the date of your retirement or other termination of employment) over the exercise price for such Stock. |
Agreed
to: | ROCKWELL AUTOMATION, INC. | |
Date: __________________________ | By: | |
_______________________________ | ||
Douglas M. Hagerman | ||
Senior Vice President, | ||
<employee id> | General Counsel and Secretary |
1. | Definitions |
(a) | Change
of Control: Change of Control shall have the same meaning as such term has in the Plan. |
(b) | Charles Schwab: Charles Schwab & Co., Inc., the stock option administrator whom Rockwell Automation has engaged to administer and process all Option exercises. |
(c) | Corporation: Rockwell Automation and its Subsidiaries
(as such term is defined in the Plan). |
(d) | Customer Service Center: Charles Schwab's Customer Service Center that is used to facilitate Option transactions. Contact Charles Schwab at (877) 804-3529. |
(e) | Exercise Request and Attestation Form: Such form as may be accepted by Charles Schwab in connection
with the use of already-owned shares to pay all or part of the exercise price for the Option Stock to be purchased on exercise of any of the Options. |
(f) | Notice of Exercise Form: The form attached as Exhibit 1 or any other form accepted by the Secretary of Rockwell Automation in his sole discretion. |
(g) | Options: The stock option or stock options listed in the first paragraph of the Stock
Option Agreement dated December 6, 2012 to which these Stock Option Terms and Conditions are attached. |
(h) | Option Stock: The Stock issuable or transferable on exercise of the Options. |
(i) | Plan: Rockwell Automation’s 2012 Long-Term Incentives Plan, as such Plan may be amended and in effect at the relevant time. |
(j) | Rockwell
Automation: Rockwell Automation, Inc., a Delaware corporation, and any successor thereto. |
(k) | Stock: Stock shall have the same meaning as such term has in the Plan. |
(l) | Stock Option Agreement: These Stock Option Terms and Conditions together with the Stock Option Agreement dated December 6, 2012 to which they are attached. |
2. | When
Options May be Exercised |
(a) | if you die while an Employee (as defined in the Plan), your estate, or any person who acquires the Options by bequest or inheritance, may exercise all the Options not theretofore exercised within (and only within) the period beginning on your date of death (even if you die before you have become entitled to exercise all or any part of the Options) and ending three years thereafter; and |
(b) | if
your employment by the Corporation terminates other than by death, then: |
(i) | if your retirement or other termination date is before December 6, 2013, the Options will terminate on your retirement or other termination and may not be exercised at any time; |
(ii) | if your employment by the Corporation is terminated for “cause” (as reasonably determined by the Corporation applying
the definition in this Agreement), the Options will immediately terminate upon your termination and may not be exercised at any time; |
(iii) | if your employment by the Corporation terminates on or after December 6, 2013 by reason of your retirement, you (or if you die after your retirement date, your estate or any person who acquires the Options by bequest or inheritance) may thereafter exercise the Options within (and only within) the period starting on the date you would otherwise have become entitled to exercise the part of the Options so exercised and ending on the fifth anniversary of your retirement date; and |
(iv) | if
your employment by the Corporation terminates on or after December 6, 2013 for any reason not specified in subparagraph (a) or in clauses (ii) or (iii) of this subparagraph (b), you (or if you die after your termination date, your estate or any person who acquires the Options by bequest or inheritance) may thereafter exercise the Options within (and only within) the period ending three (3) months after your termination date but only to the extent they were exercisable on your termination date. |
3. | Exercise Procedure |
(a) | To exercise all or any part of the Options, you (or after your death, your estate or any person who has acquired the Options by bequest or inheritance) must first obtain authorization from Rockwell Automation's Office of the Secretary by submitting a Notice of Exercise Form to Rockwell
Automation's Office of the Secretary (Attention: Stock Option Administration; facsimile number (414) 382-8487) or by other means acceptable to the Secretary of Rockwell Automation, and then contact the stock option administrator, Charles Schwab, by using the Customer Service Center as follows: |
(i) | contact the Customer Service Center by calling (877) 804-3529, Monday through Friday 9 a.m. to 9 p.m., ET, and follow the instructions provided; |
(ii) | the
Customer Service Center confirms the Option transaction; |
(iii) | full payment of the exercise price for the Option Stock to be purchased on exercise of the Options may be made: |
• | by check (wire) to your Charles Schwab account; or |
• | in
already-owned Stock; or |
• | in a combination of check (wire) to your Charles Schwab account and Stock; or |
• | by authorizing Charles Schwab or a third party approved by Rockwell Automation to sell the Stock (or a sufficient portion of the Stock) acquired upon exercise of the Options; and |
(iv) | in
the case of an exercise of the Options by any person other than you seeking to exercise the Options, such documents as Charles Schwab or the Secretary of Rockwell Automation shall require to establish to their satisfaction that the person seeking to exercise the Options is entitled to do so. |
(b) | An exercise of the whole or any part of the Options shall be effective: |
(i) | if
you elect (or after your death, the person entitled to exercise the Options elects) to pay the exercise price for the Option Stock entirely by check (wire), upon |
(ii) | if you elect (or after your death, the person entitled to exercise the Options elects) to pay the exercise price of the Option Stock
in Stock or in a combination of Stock and check, upon (A) completion of your transaction by using the Customer Service Center and full payment of the exercise price (as described in Section 3(d) herein) and withholding taxes (if applicable) are received by Charles Schwab within three (3) business days following the exercise; and (B) receipt of any documents required pursuant to Section 3(a)(iv) herein. |
(c) | If you choose (or after your death, the person entitled to exercise the Options chooses) to pay the exercise price for the Option Stock to be purchased on exercise of any of the Options entirely by check, payment must be made by: |
• | delivering
to Charles Schwab a check (wire) in the full amount of the exercise price of such Option Stock; or |
• | arranging with a stockbroker, bank or other financial institution to deliver to Charles Schwab full payment, by check or (if prior arrangements are made with Charles Schwab) by wire transfer, of the exercise price of such Option Stock . |
(d) | (i) If
you choose (or after your death, the person entitled to exercise the Options chooses) to use already-owned Stock to pay all or part of the exercise price for the Option Stock to be purchased on exercise of any of the Options, you (or after your death, the person entitled to exercise the Options) must deliver to Charles Schwab an Exercise Request and Attestation Form and cash representing one share, per grant exercised, to settle the rounding of the exercise costs. To perform such a stock swap transaction or a partial swap transaction, the Exercise Request and Attestation Form must be submitted via fax (720) 785-8884 by 4 PM ET on the date of exercise. Any questions concerning a stock swap transaction should be referred to (877) 636-7551 (Stock Option Administration Group Hotline). The
Exercise Request and Attestation Form must attest to your ownership of Stock representing: |
• | at least the number of shares of Stock whose value, based on the Fair Market Value (as defined in the Plan) on the day you have exercised your Options through the Customer Service Center, equals the exercise price for the Option Stock; or |
• | any lesser number of shares of Stock you desire (or after your death, the person entitled to exercise
the Options desires) to use to pay the exercise price for such Option Stock and a check in the amount of such exercise price less the value of the Stock to which you are attesting, based on the Fair Market Value on the day you have exercised your Options through the Customer Service Center. |
(ii) | If you choose (or after your death, the person entitled to exercise the Options chooses) to use Stock acquired upon exercise of the Options to pay all or part of the exercise price for the remaining Option Stock to be purchased on
exercise of any of the Options, you (or after your death, the person entitled to exercise the Options) must contact the Customer Service Center at (877) 804-3529. |
(iii) | Charles Schwab will advise you (or any other person who, being entitled to do so, exercises the Options) of the exact number of shares of Stock, valued in accordance with Section 4(a)(ii) of the Plan at their Fair Market Value on the date of exercise, and any funds required to pay in full the exercise price for the Option Stock purchased. In accordance with Section 3(e) herein, you (or such other person) must pay, by check, in Stock or in
a combination of check and Stock, any balance required to pay in full the exercise price of the Option Stock purchased within three (3) business days after the exercise has been completed through the Customer Service Center. |
(iv) | Notwithstanding any other provision of this Stock Option Agreement, the Secretary of Rockwell Automation may limit the number, frequency or volume of successive exercises of any of the Options in which payment is made, in whole or in part, by delivery of Stock pursuant to this subparagraph (d) to prevent unreasonable pyramiding of such exercises. |
(e) | An
exercise completed through the Customer Service Center, whether or not full payment of the exercise price for the Option Stock is received by Charles Schwab, shall constitute a binding contractual obligation by you (or the other person entitled to exercise the Options) to proceed with and conclude that exercise of the Options (but only so long as you continue, or the other person entitled to exercise the Options continues, to be entitled to exercise the Options on that date). By your acceptance of this Stock Option Agreement, you agree (for yourself and on behalf of any other person who becomes entitled to exercise the Options) to deliver or cause to be delivered to Charles Schwab in full the exercise price for the Option Stock, that payment being by check, wire transfer, in Stock or in a combination of check and Stock, on or before the third business day after the date on which you complete the exercise through the Customer Service Center. If such payment is not made,
you (for yourself and on behalf of any other person who becomes entitled to exercise the Options) authorize the Corporation, in its discretion, to set off against salary payments or other amounts due or which may become due you (or the other person entitled to exercise the Options) any balance of the exercise price for such Option Stock remaining unpaid thereafter. |
(f) | An Exercise Confirmation representing the number of shares of Option Stock purchased will be issued the third business day (i) after Charles Schwab has received full payment therefor or (ii) at Rockwell Automation’s or Charles Schwab’s election in their sole discretion, after Rockwell Automation or Charles Schwab has received (x) full
payment of the exercise price of the Option Stock and (y) any reimbursement in respect of withholding taxes due pursuant to Section 5 herein. |
4. | Transferability |
5. | Withholding |
6. | Headings |
7. | References |
8. | Entire Agreement |
9. | Applicable Laws and Regulations |
Exhibit 1 | Notice of Exercise Form |
Date of Grant | Number of Shares | Exercise Price | Total Purchase Price |
________ | ________ | $________ | $________ |
________ | ________ | $________ | $________ |
________ | ________ | $________ | $________ |
• | A check payable to the Rockwell Automation Employee Stock Option Program or a wire transfer to Charles Schwab for credit to the Rockwell Automation Employee Stock Option Program in the amount of the Total Purchase Price of the above-itemized stock option(s); or |
• | A number of shares of
Rockwell Automation Common Stock surrendered or sold to pay the Total Purchase Price of the above-itemized stock option(s); or |
• | A combination of (i) a check payable to the Rockwell Automation Employee Stock Option Program or a wire transfer to Charles Schwab for credit to the Rockwell Automation Employee Stock Option Program, and (ii) a number of Shares surrendered or sold; which together amount to the Total Purchase Price of the above-itemized stock option(s). |
Signature |
Print
Name |
Date |
This ‘10-Q’ Filing | Date | Other Filings | ||
---|---|---|---|---|
12/6/22 | ||||
12/6/15 | 4 | |||
12/6/14 | ||||
12/6/13 | 4 | |||
Filed on: | 2/6/13 | 4 | ||
1/31/13 | ||||
For Period end: | 12/31/12 | 11-K | ||
12/6/12 | 4 | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/08/23 Rockwell Automation, Inc. 10-K 9/30/23 140:16M 11/08/22 Rockwell Automation, Inc. 10-K 9/30/22 139:18M 11/09/21 Rockwell Automation, Inc. 10-K 9/30/21 136:18M 11/10/20 Rockwell Automation, Inc. 10-K 9/30/20 144:21M |