X0206 3 2019-11-01 0 0001024478 ROCKWELL AUTOMATION, INC ROK 0001791766 Nicolas Ernest 1201 SOUTH SECOND STREET MILWAUKEE WI 53204 false true false false SVP, Operations & Eng Services Common Stock 2289.5 D Common Stock 37 I By wife Common Stock 436.6461 I By Savings Plan Employee stock option (right to buy) 171.46 2019-12-04 2028-12-04 Common Stock 2000 D Performance Shares 2019-12-06 2019-12-06 Common Stock 239 D Employee Stock Option (Right to Buy) 115.69 2015-12-02 2024-12-02 Common Stock 334 D Employee stock option (right to buy) 104.08 2016-12-03 2025-12-03 Common Stock 1800 D Employee Stock Option (Right to Buy) 136.4 2017-12-06 2026-12-06 Common Stock 2300 D Employee Stock Option (right to buy) 192.86 2018-12-08 2027-12-08 Common Stock 2000 D Common Stock Share Equivalents 0 Common Stock 47.5246 D Includes 1,390 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. The option vests in three substantially equal annual installments beginning on the date exercisable. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). 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. 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. Each unit is the economic equivalent of one share of Company common stock. The share equivalents are payable in cash upon retirement or after termination of employment. Karen A. Balistreri, Attorney-in-fact for Ernest Nicolas 2019-11-04