0001024478-23-000028.txt : 20230213 0001024478-23-000028.hdr.sgml : 20230213 20230213200841 ACCESSION NUMBER: 0001024478-23-000028 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230213 FILED AS OF DATE: 20230213 DATE AS OF CHANGE: 20230213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buttermore Robert L. CENTRAL INDEX KEY: 0001963701 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 23621293 MAIL ADDRESS: STREET 1: 1201 S. 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 1201 SOUTH 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 BUSINESS PHONE: 414-382-2000 MAIL ADDRESS: STREET 1: 1201 SOUTH 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL AUTOMATION INC DATE OF NAME CHANGE: 20061109 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL AUTOMATION INC DATE OF NAME CHANGE: 20020507 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL INTERNATIONAL CORP DATE OF NAME CHANGE: 19970106 3 1 wf-form3_167633690159624.xml FORM 3 X0206 3 2023-02-13 0 0001024478 ROCKWELL AUTOMATION, INC ROK 0001963701 Buttermore Robert L. 1201 S 2ND STREET MILWAUKEE WI 53204 0 1 0 0 SVP,Chief Supply Chain Officer Common Stock 1302 D Common Stock 265.79 I By Savings Plan Employee Stock Option (Right to Buy) 196.43 2020-12-05 2029-12-05 Common Stock 800.0 D Employee Stock Option (Right to Buy) 246.77 2021-12-10 2030-12-10 Common Stock 1050.0 D Employee Stock Option (Right to Buy) 350.76 2022-12-07 2031-12-07 Common Stock 822.0 D Employee Stock Option (Right to Buy) 259.81 2023-12-09 2032-12-09 Common Stock 1546.0 D Restricted Stock Units 0.0 2021-12-10 2023-12-10 Common Stock 235.0 D Restricted Stock Units 0.0 2022-12-07 2024-12-07 Common Stock 206.0 D Restricted Stock Units 0.0 2023-06-06 2025-06-06 Common Stock 4655.0 D Restricted Stock Units 0.0 2023-12-09 2025-12-09 Common Stock 462.0 D Performance Shares 0.0 2023-12-10 2023-12-10 Common Stock 255.0 D Performance Shares 0.0 2024-12-07 2024-12-07 Common Stock 200.0 D Performance Shares 0.0 2025-12-09 2025-12-09 Common Stock 470.0 D Common Stock Share Equivalents Common Stock 60.46 I By Nonqualified Savings Plan Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 1/17/2023. The options vest in three substantially equal annual installments beginning on the date exercisable. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. 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 10, 2023, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. 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 7, 2024, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. 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 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. The share equivalents are payable in cash upon retirement or after termination of employment. 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 1/17/2023. Each unit is the economic equivalent of one share of Company common stock. Danielle White, Attorney-in-fact for Robert L. Buttermore 2023-02-13