SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
MCDERMOTT JOHN P

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

(Street)
MILWAUKEE WI 53202

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION INC [ ROK ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
11/09/2004
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/09/2004 M 17,502 A $11.6038 25,502 D
Common Stock 11/09/2004 M 1,298 A $10.5866 26,800 D
Common Stock 11/09/2004 S 16,800 D (1) 10,000 D
Common Stock 11/09/2004 G 1,375 D $0 8,625 D
Common Stock 3,723.9172 I By Savings Plan(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) $10.5866 11/09/2004 M 1,298 10/05/1999 10/05/2008 Common Stock 1,298 $0 0 D
Employee Stock Option (right to buy) $20.349 10/04/2000 10/04/2009 Common Stock 63,856 63,856 D
Employee Stock Option (right to buy) $11.6038 11/09/2004 M 17,502 10/02/2001 10/02/2010 Common Stock 17,502 $0 7,812 D
Employee Stock Option (right to buy) $13.4 10/01/2002 10/01/2011 Common Stock 45,000 45,000 D
Employee Stock Option (right to buy) $15.5 10/07/2003(3) 10/07/2012 Common Stock 45,000 45,000 D
Employee Stock Option (right to buy) $27.75 10/06/2004(3) 10/06/2013 Common Stock 60,000 60,000 D
Employee Stock Option (right to buy) $43.9 11/08/2005(3) 11/08/2014 Common Stock 60,000 60,000 D
Common Stock Share Equivalents (4) (5) (5) Common Stock 349.9884 349.9884(4) I Nonqual. Savings Plan
Explanation of Responses:
1. Sale price ranged from $43.80 to $43.90.
2. 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 11/01/2004.
3. The option vests in three substantially equal annual installments beginning on the date exercisable.
4. Share equivalents represented by Company stock fund units credited under the Company's nonqualified savings plan which were acquired on a periodic basis pursuant to the Plan, based on information furnished by the Plan Administrator as of 11/01/2004. 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.
5. The share equivalents are payable in cash upon retirement or after termination of employment.
Remarks:
K. A. Balistreri, Attorney-in-Fact for John P. McDermott 11/10/2004
** 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 4 (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.