Form Type: 4

SEC EDGAR Link
Accession Number:0001246360-19-002646
Date:2019-12-06
Issuer: ROCKWELL AUTOMATION, INC (ROK)
Original Submission Date:

Reporting Person:

MURPHY ROBERT B
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 2019-12-06 M 740 a $0.00 3,229 direct
COMMON STOCK 2019-12-09 S 373 d $199.09 2,856 f8 direct
COMMON STOCK 2019-12-06 0 $0.00 259 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
PERFORMANCE SHARES 0.0 2019-12-06 deemed execution date M 740 (d) 2019-12-06 2019-12-06 common stock 740 $0.00 0 direct
COMMON STOCK SHARE EQUIVALENTS 0.0 deemed execution date 0 ( ) common stock 48 $0.00 48 indirect non qualified savings plan
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 each unit is the economic equivalent of one share of company common stock.
f3 the share equivalents are payable in cash upon retirement or after termination of employment.
f4 includes share equivalents represented by company stock fund units acquired under the company nonqualified savings plan since the date last reported for this person based on information furnished by the plan administrator as of 10/31/2019. the number of stock fund units represented by the balance of the participant's company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the company stock fund under the plan.
f5 each performance share represents a contingent right to receive one share of company common stock (or the cash equivalent).
f6 sale of shares pursuant to rule 10b5-1 trading plan entered into on 5/17/2019 to cover taxes due on restricted stock and performance shares that vested on 12/06/2019.
f7 price reported in column 4 is a weighted average price. shares sold at prices ranging from $199.05 to $199.10. 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.
f8 includes 1,060 shares held by the company to implement restrictions on transfer unless and until certain conditions are met.
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