SEC FORM 3

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^*

Riesterer Terry L.

(Last)

(First)

(Middle)

1201 SOUTH SECOND STREET

(Street)

MILWAUKEE

53204

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/29/2019

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)
	Vice President and Controller

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	668.9468⁽²⁾	I	By Savings Plan
Common Stock	420⁽⁶⁾	D

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Employee Stock Option (Right to Buy)	12/06/2017⁽¹⁾	12/06/2026	Common Stock	2,500	$136.4	D
Common Stock Share Equivalents	⁽⁴⁾	⁽⁴⁾	Common Stock	26.1544	$0⁽³⁾	I⁽⁵⁾	By nonqualified savings plan
Employee stock option (right to buy)	12/04/2019⁽¹⁾	12/04/2028	Common Stock	2,100	$171.46	D
Employee Stock Option (right to buy)	12/08/2018⁽¹⁾	12/08/2027	Common Stock	1,900	$192.86	D
Performance Shares	12/06/2019⁽⁸⁾	12/06/2019	Common Stock	270	⁽⁷⁾	D

Explanation of Responses:

1. The option vests in three substantially equal annual installments beginning on the date exercisable.

2. Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/29/2019.

3. Each unit is the economic equivalent of one share of Company common stock.

4. The share equivalents are payable in cash upon retirement or after termination of employment.

5. Share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan based on information furnished by the Plan Administrator as of 11/29/2019.

6. Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.

7. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).

8. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 6, 2019, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.

	Karen A. Balistreri, Attorney-in-fact for Terry L. Riesterer	12/03/2019
	** 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.