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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
 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*
Moret Blake D.
(Last) (First) (Middle)
1201 SOUTH SECOND STREET
(Street)
MILWAUKEE WI 53204
(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)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
12/09/2022
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 12/10/2022 M 2,635 A $0 68,763 D
Common Stock 12/12/2022 S(1) 810 D $258.3533(2) 67,953 D
Common Stock 12/12/2022 S(1) 373 D $258.9708(3) 67,580 D
Common Stock 166.51(4) I By Savings Plan
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
Restricted Stock Units (5) 12/10/2022 M 2,635 12/10/2021(6) 12/10/2023 Common Stock 2,635 $0 2,635 D
Employee Stock Option (Right to Buy) $259.81 12/09/2022 A(7) 38,650 12/09/2023(8) 12/09/2032 Common Stock 38,650 $0 38,650 D
Restricted Stock Units (5) 12/09/2022 A(7) 11,547 12/09/2023(6) 12/09/2025 Common Stock 11,547 $0 11,547 D
Common Stock Share Equivalents (9) (10) (10) Common Stock 470 470(11) I Nonqual. Savings Plan
Explanation of Responses:
1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 8/9/2022 to cover taxes due on restricted stock units that vested on 12/10/2022.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $257.76 to $258.75. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
3. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $258.7901 to $259.19. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
4. Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2022.
5. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
6. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
7. Awarded under the Company's 2020 Long-Term Incentives Plan.
8. The options vest in three substantially equal annual installments beginning on the date exercisable.
9. Each unit is the economic equivalent of one share of Company common stock.
10. The share equivalents are payable in cash upon retirement or after termination of employment.
11. Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 11/1/2022. The number of stock fund units represented by the balance of the participant's Company stock fund may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
Remarks:
Danielle White, Attorney-in-Fact for Blake D. Moret 12/13/2022
** 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.