Robert L. Buttermore Form 3 ROCKWELL AUTOMATION / Robert L. Buttermore ownership change

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^*

Buttermore Robert L.

(Last) (First) (Middle)

1201 S 2ND STREET

(Street)

MILWAUKEE WI 53204

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/13/2023

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)
SVP,Chief Supply Chain Officer

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	1,302	D
Common Stock	265.79(1)	I	By Savings Plan

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)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (Right to Buy)	12/05/2020(2)	12/05/2029	Common Stock	800	196.43	D
Employee Stock Option (Right to Buy)	12/10/2021(2)	12/10/2030	Common Stock	1,050	246.77	D
Employee Stock Option (Right to Buy)	12/07/2022(2)	12/07/2031	Common Stock	822	350.76	D
Employee Stock Option (Right to Buy)	12/09/2023(2)	12/09/2032	Common Stock	1,546	259.81	D
Restricted Stock Units	12/10/2021(3)	12/10/2023	Common Stock	235	0.0(4)	D
Restricted Stock Units	12/07/2022(3)	12/07/2024	Common Stock	206	0.0(4)	D
Restricted Stock Units	06/06/2023(3)	06/06/2025	Common Stock	4,655	0.0(4)	D
Restricted Stock Units	12/09/2023(3)	12/09/2025	Common Stock	462	0.0(4)	D
Performance Shares	12/10/2023(5)	12/10/2023	Common Stock	255	0.0(6)	D
Performance Shares	12/07/2024(7)	12/07/2024	Common Stock	200	0.0(6)	D
Performance Shares	12/09/2025(8)	12/09/2025	Common Stock	470	0.0(6)	D
Common Stock Share Equivalents	(9)	(9)	Common Stock	60.46(10)	(11)	I	By Nonqualified Savings Plan

Explanation of Responses:

1. 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.

2. The options vest in three substantially equal annual installments beginning on the date exercisable.

3. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.

4. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.

5. 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.

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

7. 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.

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 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.

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

10. 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.

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

Remarks:

	Danielle White, Attorney-in-fact for Robert L. Buttermore	02/13/2023
	** 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.
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