0001193125-23-053802.txt : 20230228 0001193125-23-053802.hdr.sgml : 20230228 20230228160210 ACCESSION NUMBER: 0001193125-23-053802 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 12 CONFORMED PERIOD OF REPORT: 20230223 ITEM INFORMATION: Other Events FILED AS OF DATE: 20230228 DATE AS OF CHANGE: 20230228 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: 23685039 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 8-K 1 d453536d8k.htm 8-K 8-K
ROCKWELL AUTOMATION, INC false 0001024478 0001024478 2023-02-23 2023-02-23

 

 

UNITED STATES

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): February 28, 2023 (February 23, 2023)

 

 

Rockwell Automation, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware   1-12383   25-1797617
(State or Other Jurisdiction
of Incorporation)
  (Commission
File Number)
  (IRS Employer
Identification No.)

1201 South Second Street

Milwaukee, Wisconsin 53204

(Address of Principal Executive Offices) (Zip Code)

(414) 382-2000

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Trading
Symbol

 

Name of each exchange

on which registered

Common Stock ($1.00 par value)   ROK   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

 

 

 


INFORMATION TO BE INCLUDED IN THE REPORT

 

Item 8.01.

Other Events.

On February 23, 2023, Blake D. Moret, Chairman, President and Chief Executive Officer of Rockwell Automation, Inc., entered into a Rule 10b5-1 trading plan with respect to (i) shares of restricted stock units vesting on December 7, 2023 and December 9, 2023, and restricted stock and performance share units vesting on December 10, 2023, (ii) 23,600 shares of common stock issuable upon exercise of stock options awarded to Mr. Moret in 2014, and a total of 1,700 shares of common stock issuable upon exercise of incentive stock options awarded to Mr. Moret in 2013 and 2014, and (iii) 4,855 long shares held in Mr. Moret’s personal brokerage account. The trading plan becomes effective on May 15, 2023. Mr. Moret entered into the plan to sell shares of common stock issuable upon vesting of restricted stock units and performance shares to cover taxes due on vesting and as part of his tax and financial planning strategy to diversify and liquidate nearly expiring options.


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/ Rebecca W. House

  Rebecca W. House
  Senior Vice President, Chief Legal Officer and Secretary

Date: February 28, 2023

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