# EDGAR Filing Document

**Accession Number:** 0001963701
**File Stem:** 0001024478-23-000028
**Filing Date:** 2023-2
**Character Count:** 7821
**Document Hash:** 5e3072be102d38b4f6539052c11a8b63
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001024478-23-000028.hdr.sgml**: 20230213

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] 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**<sup>*</sup><br>Buttermore Robert L.<br><sub>(Last) (First) (Middle)</sub><br>1201 S 2ND STREET<br><sub>(Street)</sub><br>MILWAUKEE, WI 53204<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>ROCKWELL AUTOMATION, INC [ ROK ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-02-13 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_SVP,Chief Supply Chain Officer_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 1302 | D |  |
| Common Stock | 265.79<sup>(1)</sup> | I | By Savings Plan |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (Right to Buy) | 2020-12-05<sup>(2)</sup> | 2029-12-05 | Common Stock | 800.0 | $196.43 | D |  |
| Employee Stock Option (Right to Buy) | 2021-12-10<sup>(2)</sup> | 2030-12-10 | Common Stock | 1050.0 | $246.77 | D |  |
| Employee Stock Option (Right to Buy) | 2022-12-07<sup>(2)</sup> | 2031-12-07 | Common Stock | 822.0 | $350.76 | D |  |
| Employee Stock Option (Right to Buy) | 2023-12-09<sup>(2)</sup> | 2032-12-09 | Common Stock | 1546.0 | $259.81 | D |  |
| Restricted Stock Units | 2021-12-10<sup>(3)</sup> | 2023-12-10 | Common Stock | 235.0 | 0.0<sup>(4)</sup> | D |  |
| Restricted Stock Units | 2022-12-07<sup>(3)</sup> | 2024-12-07 | Common Stock | 206.0 | 0.0<sup>(4)</sup> | D |  |
| Restricted Stock Units | 2023-06-06<sup>(3)</sup> | 2025-06-06 | Common Stock | 4655.0 | 0.0<sup>(4)</sup> | D |  |
| Restricted Stock Units | 2023-12-09<sup>(3)</sup> | 2025-12-09 | Common Stock | 462.0 | 0.0<sup>(4)</sup> | D |  |
| Performance Shares | 2023-12-10<sup>(5)</sup> | 2023-12-10 | Common Stock | 255.0 | 0.0<sup>(6)</sup> | D |  |
| Performance Shares | 2024-12-07<sup>(7)</sup> | 2024-12-07 | Common Stock | 200.0 | 0.0<sup>(6)</sup> | D |  |
| Performance Shares | 2025-12-09<sup>(8)</sup> | 2025-12-09 | Common Stock | 470.0 | 0.0<sup>(6)</sup> | D |  |
| Common Stock Share Equivalents | <sup>(9)</sup> | <sup>(9)</sup> | Common Stock | 60.46<sup>(10)</sup> | <sup>(11)</sup> | I | By Nonqualified Savings Plan |

---

### Footnotes:

(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.

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

### Remarks:

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.**