SEC Form 4 · accession 0001246360-18-002596

ROCKWELL AUTOMATION, INC · ROK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Sr. Vice President

Period of report

Dec 3, 2018

Accepted (ET)

Dec 6, 2018 · 5:14 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001024478

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Dec 3, 2018	M	7,100	$0.00	A	37,731	D
Common Stock	Dec 4, 2018	S	1	$175.04	D	37,730	D
Common Stock^F4,F5	Dec 4, 2018	S	3,833	$176.0417	D	33,897	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Shares^F1	—	Dec 3, 2018	M	7,100	D	Dec 3, 2018	Dec 3, 2018	Common Stock	7,100	0	D
Employee stock option (right to buy)^F2	$171.46	Dec 4, 2018	A	11,100	A	Dec 4, 2019	Dec 4, 2028	Common Stock	11,100	11,100	D

F1Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
F2The option vests in three substantially equal annual installments beginning on the date exercisable.
F3Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/23/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018.
F4Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $176.04 to $176.24. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F5Includes 1,510 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.