Form Type: 4

SEC EDGAR Link
Accession Number:0001246360-19-002601
Date:2019-12-05
Issuer: ROCKWELL AUTOMATION, INC (ROK)
Original Submission Date:

Reporting Person:

ETZEL STEVEN W.
1201 SOUTH SECOND STREET
MILWAUKEE, WI 53204

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-12-05 A 150 a $0.00 9,113 f4 direct
COMMON STOCK 2019-12-05 0 $0.00 662 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 196.43 2019-12-05 deemed execution date A 2,400 (a) 2020-12-05 2029-12-05 common stock 2,400 $196.43 2,400 direct
Footnotes
IDfootnote
f1 shares represented by company stock fund units acquired under the company savings plan based on information furnished by the plan administrator as of 10/31/2019.
f2 the option vests in three substantially equal annual installments beginning on the date exercisable.
f3 restricted stock award under the company's 2012 long-term incentives plan.
f4 includes 1,230 shares held by the company to implement restrictions on transfer unless and until certain conditions are met.
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