SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
RUFF ROBERT A

(Last) (First) (Middle)
777 EAST WISCONSIN AVENUE
SUITE 1400

(Street)
MILWAUKEE WI 53202

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/04/2004
3. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION INC [ ROK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 5,000 D
Common Stock 817.862 I Savings Plan(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee stock option (right to buy) 10/04/2000(2) 10/04/2009 Common Stock 13,158 $20.349 D
Employee stock option (right to buy) 10/01/2002(2) 10/01/2011 Common Stock 8,334 $13.4 D
Employee stock option (right to buy) 10/07/2003(2) 10/07/2012 Common Stock 10,000 $15.5 D
Employee stock option (right to buy) 12/04/2003(2) 12/04/2012 Common Stock 15,000 $20.42 D
Employee stock option (right to buy) 10/06/2004(2) 10/06/2013 Common Stock 40,000 $27.75 D
Common Stock Share Equivalents (3) (3) Common Stock 90.853 (4) I Nonqual. Savings Plan
Explanation of Responses:
1. 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 01/15/2004.
2. The option becomes exercisable in three equal annual installments begininng on the date exercisable.
3. 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 01/15/2004. 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 reference fund used to determine unit values of the Company stock fund under the plan.
4. The share equivalents are payable in cash upon retirement or after termination of employment.
Remarks:
/s/ Robert A. Ruff 02/04/2004
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.