-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JpzLXuYzv9Q5hvHfzTOY4BIFV2hsvCwaOkc/SUP7EPG0qv5lid8kbv3BFfMJ9O6N S2yFLw8r7KttU1mg7PR1CQ== 0000893838-02-000065.txt : 20020806 0000893838-02-000065.hdr.sgml : 20020806 20020806143646 ACCESSION NUMBER: 0000893838-02-000065 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020806 ITEM INFORMATION: FILED AS OF DATE: 20020806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWELL AUTOMATION INC CENTRAL INDEX KEY: 0001024478 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 251797617 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 02720542 BUSINESS ADDRESS: STREET 1: 777 EAST WISCONSIN AVENUE SUITE 1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-212-5299 MAIL ADDRESS: STREET 1: 777 EAST WISCONSIN AVENUE SUITE 1400 CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: NEW ROCKWELL INTERNATIONAL CORP DATE OF NAME CHANGE: 19961009 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL INTERNATIONAL CORP DATE OF NAME CHANGE: 19970106 8-K 1 c8k802.txt FORM 8-K =============================================================================== SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------- FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2002 (August 6, 2002) ROCKWELL AUTOMATION, INC. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction (Commission (IRS Employer of incorporation) File Number) Identification No.) 777 East Wisconsin Avenue, Suite 1400, Milwaukee, Wisconsin 53202 (Address of principal executive offices) (Zip code) Registrant's telephone number, including area code: (414) 212-5299 =============================================================================== Item 9. Regulation FD Disclosure. On August 6, 2002, the Chairman of the Board and Chief Executive Officer and the Senior Vice President and Chief Financial Officer of Rockwell Automation, Inc. each signed the Statement Under Oath required by Securities and Exchange Commission Order No. 4-460, which Statements were delivered to the Securities and Exchange Commission on August 6, 2002. The Statements are furnished herewith as Exhibits 99.1 and 99.2. Exhibits. 99.1 Statement under Oath of Principal Executive Officer Regarding Facts and Circumstances Relating to Exchange Act Filings 99.2 Statement under Oath of Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings (Page 2 of 6 Pages) SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ROCKWELL AUTOMATION, INC. (Registrant) By: /s/ William J. Calise, Jr. -------------------------------- William J. Calise, Jr. Senior Vice President, General Counsel and Secretary Dated: August 6, 2002 (Page 3 of 6 Pages) EXHIBIT INDEX Exhibit Sequentially Number Description Numbered Page - ------ ----------- ------------- 99.1 Statement under Oath of Principal Executive Officer Regarding Facts and Circumstances Relating to Exchange 5 Act Filings 99.2 Statement under Oath of Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange 6 Act Filings (Page 4 of 6 Pages) EX-99 3 c8k802ex991.txt EXHIBIT 99.1 - STATEMENT BY PRINCIPAL EXECUTIVE OFFICER Exhibit 99.1 STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, Don H. Davis, Jr., Chairman of the Board and Chief Executive Officer of Rockwell Automation, Inc., state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Rockwell Automation, Inc. (formerly Rockwell International Corporation) and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o Annual Report on Form 10-K of Rockwell International Corporation (presently Rockwell Automation, Inc.) for the year ended September 30, 2001; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Rockwell International Corporation and Rockwell Automation, Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. /s/ Don H. Davis, Jr. Subscribed and sworn to - --------------------------- before me this 6th day of Don H. Davis, Jr. August 2002. Date: 8-6, 2002 /s/ Karen A. Balistreri ----------------------- Notary Public My Commission Expires: is permanent ------------ (Page 5 of 6 Pages) EX-99 4 c8k802ex992.txt EXHIBIT 99.2 - STATEMENT BY PRINCIPAL FINANCIAL OFFICER Exhibit 99.2 STATEMENT UNDER OATH OF PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, Michael A. Bless, Senior Vice President and Chief Financial Officer of Rockwell Automation, Inc., state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Rockwell Automation, Inc. (formerly Rockwell International Corporation) and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o Annual Report on Form 10-K of Rockwell International Corporation (presently Rockwell Automation, Inc.) for the year ended September 30, 2001; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Rockwell International Corporation and Rockwell Automation, Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. /s/ Michael A. Bless Subscribed and sworn to - ------------------------------ before me this 6th day of Michael A. Bless August 2002. Date: 6 August, 2002 /s/ Karen A. Balistreri ----------------------- Notary Public My Commission Expires: is permanent ------------ (Page 6 of 6 Pages) -----END PRIVACY-ENHANCED MESSAGE-----