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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Rockwell Automation, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 6, 2025 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 August 6, 2025 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Auto |
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| August 6, 2025 |
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): August 6, 2025 (August 6, 2025) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| August 6, 2025 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Third Quarter 2025 Results •Reported sales up 5%; organic sales up over 4% •Total company Book-to-bill was ~1.0, consistent with the normal historical range •Total AR |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| June 4, 2025 |
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): June 4, 2025 (May 30, 2025) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporation) |
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| May 30, 2025 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form SD (Specialized Disclosure Report) Rockwell Automation, Inc. Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 1201 South Second Street, Milwaukee, Wisconsin 53204 (Address of principal executive offices) (Zip code) Michael |
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| May 30, 2025 |
Exhibit 1.01 - Conflict Minerals Report (attached) EX-1.01 Exhibit 1.01 Conflict Minerals Report OF ROCKWELL AUTOMATION, INC. IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2024 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Conflict Minerals Report |
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| May 19, 2025 |
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): May 19, 2025 (May 16, 2025) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation) |
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| May 19, 2025 |
Exhibit 99 Execution Version Published Deal CUSIP: 77432KAS0 Published Facility CUSIP: 77432KAT8 $500,000,000 364-DAY TERM LOAN CREDIT AGREEMENT dated as of May 16, 2025 among ROCKWELL AUTOMATION, INC. |
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| May 7, 2025 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 May 7, 2025 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Aut |
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| May 7, 2025 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Second Quarter 2025 Results •Reported sales down (6)%; organic sales down (4)% with currency decreasing sales (2)% year over year •Total company Book-to-bill was ~1.0 |
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| May 7, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 7, 2025 (May 7, 2025) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation) ( |
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| February 10, 2025 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 February 10, 2025 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| February 10, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 10, 2025 (February 10, 2025) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| February 10, 2025 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports First Quarter 2025 Results •Orders up ~10% year over year; up mid single digits sequentially •Reported sales down (8.4)%; organic sales down (7.6)% year over year ◦Cu |
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| February 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell |
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| February 6, 2025 |
Submission of Matters to a Vote of Security Holders 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 6, 2025 (February 4, 2025) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| December 20, 2024 |
Back to Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a |
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| December 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| November 12, 2024 |
List of Subsidiaries of the Company. Exhibit 21 ROCKWELL AUTOMATION, INC. LIST OF SUBSIDIARIES OF THE COMPANY AS OF SEPTEMBER 30, 2024 Percentage of Voting Securities Owned By Name Jurisdiction Registrant Subsidiary Asem, S.r.l Italy 100 % Clearpath Robotics Inc. British Columbia 100 % CUBIC-Modulsystem A/S Denmark 100 % Rkneal, LLC Delaware 100 % Rockwell Automation (China) Company Limited China 100 % Rockwell Automation Argentina S |
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| November 12, 2024 |
Exhibit 24 POWER OF ATTORNEY I, the undersigned Director or Officer of Rockwell Automation, Inc. |
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| November 12, 2024 |
Company Trading Policies and Procedures for Insiders. Procedure Number 100-00-001 ISO Clause NA Trading Procedure for Insiders Revision C Trading Procedures for Insiders Process Owner: Assistant General Counsel, Corporate Securities and Governance Prepared By: Assistant General Counsel, Corporate Securities and Governance Approved By: Chief Legal Officer 1. |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-12383 Rockwell Automat |
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| November 7, 2024 |
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): November 7, 2024 (November 7, 2024) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| November 7, 2024 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Fourth Quarter and Full Year 2024 Results; Introduces Fiscal 2025 Guidance •Fourth quarter reported and organic sales down (21)% year over year •Fourth quarter dilute |
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| August 30, 2024 |
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): August 30, 2024 (August 26, 2024) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorpor |
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| August 7, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 7, 2024 (August 7, 2024) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| August 7, 2024 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 August 7, 2024 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Auto |
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| August 7, 2024 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Third Quarter 2024 Results; Updates Fiscal 2024 Guidance •Reported and organic sales down (8.4%) year over year •Total ARR up 17% year over year •Diluted EPS of $2.02 |
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| July 17, 2024 |
EX-99.1 Exhibit 99.1 1201 South Second Street Milwaukee, WI 53204 www.rockwellautomation.com News Release Rockwell Automation Announces New Chief Financial Officer Christian Rothe to join the company on Aug. 19 MILWAUKEE (July 17, 2024) – Rockwell Automation (NYSE:ROK), the world’s largest company dedicated to industrial automation and digital transformation, today announced that Christian Rothe w |
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| July 17, 2024 |
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): July 17, 2024 (July 16, 2024) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporatio |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Rockwell Automation, Inc. (Exact name of the registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 1201 South Second Street, Milwaukee, Wisconsin 53204 (A |
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| May 31, 2024 |
Conflict Minerals Report as required by Item 1.01 and 1.02 of this Form. Exhibit 1.01 Conflict Minerals Report OF ROCKWELL AUTOMATION, INC. IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2023 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Conflict Minerals Report are def |
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| May 7, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 7, 2024 (May 7, 2024) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation) ( |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Aut |
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| May 7, 2024 |
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): May 7, 2024 (May 6, 2024) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporation) ( |
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| May 7, 2024 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 May 7, 2024 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| May 7, 2024 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Second Quarter 2024 Results; Updates Fiscal 2024 Guidance •Reported sales down 6.6% year over year; organic sales down 8.1% year over year •Acquisitions contributed 1 |
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| February 13, 2024 |
ROK / Rockwell Automation, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01839-rockwellautomationin.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: Rockwell Automation Inc Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box t |
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| February 9, 2024 |
Submission of Matters to a Vote of Security Holders 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 9, 2024 (February 6, 2024) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| February 8, 2024 |
Timothy Knavish elected to Rockwell Automation Board of Directors EX-99 News Release Exhibit 99 Timothy Knavish elected to Rockwell Automation Board of Directors MILWAUKEE (Feb. |
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| February 8, 2024 |
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 8, 2024 (February 7, 2024) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorp |
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| January 31, 2024 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 January 31, 2024 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| January 31, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): January 31, 2024 (January 31, 2024) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| January 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell |
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| January 31, 2024 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports First Quarter 2024 Results •Reported sales up 3.6% year over year; organic sales up 1.0% year over year •Acquisitions contributed 1.4% to growth •Total ARR up 20% yea |
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| January 12, 2024 |
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): January 12, 2024 (January 10, 2024) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorp |
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| December 20, 2023 |
NOTICE OF 2024 ANNUAL MEETING OF SHAREOWNERS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 20, 2023 |
COURTESY PDF OF PROXY STATEMENT ǠǟǠǟǟǟǠǟǠǟǠǟǟǟǠǠǟǟǟ ǠǟǟǟǠǟǠǟǠǟǟǟǠǠǟǟǟ ǟǠǟǟǟǠǠǟǟǟ UZ}A 'Z9UUOT''}AU: U#qtZw}}'T'U} FEBRUARY 6, 2024 / 5:30 P. |
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| November 21, 2023 |
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): November 21, 2023 (November 16, 2023) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| November 8, 2023 |
Rockwell Automation, Inc. Executive Compensation Recoupment Policy. ROCKWELL AUTOMATION, INC. EXECUTIVE COMPENSATION RECOUPMENT POLICY (October 1, 2023) The Board of Directors (“Board”) of Rockwell Automation, Inc. (“Company”) has adopted this policy related to the recoupment of executive compensation. The Compensation and Talent Management Committee of the Board (“Committee”) will have responsibility for administering this policy and may review, and recommend ame |
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| November 8, 2023 |
List of Subsidiaries of the Company. Exhibit 21 ROCKWELL AUTOMATION, INC. LIST OF SUBSIDIARIES OF THE COMPANY AS OF SEPTEMBER 30, 2023 Percentage of Voting Securities Owned By Name Jurisdiction Registrant Subsidiary Allen-Bradley Technical Services LLC Wisconsin 100 % Asem, S.r.l Italy 100 % CUBIC-Modulsystem A/S Denmark 100 % Maverick Technologies, LLC Missouri 100 % Rockwell Automation (China) Company Limited China 100 % Rockwell A |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-12383 Rockwell Automat |
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| November 8, 2023 |
Exhibit 24 POWER OF ATTORNEY I, the undersigned Director or Officer of Rockwell Automation, Inc. |
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| November 2, 2023 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Fourth Quarter and Full Year 2023 Results; Introduces Fiscal 2024 Guidance •Fourth quarter reported sales up 20.5% year over year; organic sales up 17.7% year over ye |
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| November 2, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 2, 2023 (November 2, 2023) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| August 1, 2023 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Third Quarter 2023 Results; Updates Fiscal 2023 Guidance •Reported sales up 13.7% year over year; organic sales up 13.2% year over year •Total ARR up 17% year over ye |
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| August 1, 2023 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 August 1, 2023 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| August 1, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 1, 2023 (August 1, 2023) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| August 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Auto |
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| August 1, 2023 |
PTC / PTC Inc / ROCKWELL AUTOMATION, INC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 7)* Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Senior Vice President, Chief People and Legal Officer and Secretary Rockwell Automation, Inc. 1201 South |
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| June 20, 2023 |
PTC / PTC Inc / ROCKWELL AUTOMATION, INC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 6)* Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Senior Vice President, Chief People and Legal Officer and Secretary Rockwell Automation, Inc. 1201 South |
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| June 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| June 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| May 26, 2023 |
EX-1.01 Exhibit 1.01 Conflict Minerals Report OF ROCKWELL AUTOMATION, INC. IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2022 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Conflict Minerals Report |
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| May 26, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form SD (Specialized Disclosure Report) Rockwell Automation, Inc. Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 1201 South Second Street, Milwaukee, Wisconsin 53204 (Address of principal executive offices) (Zip code) Michael |
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| May 18, 2023 |
PTC / PTC Inc / ROCKWELL AUTOMATION, INC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 5)* Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Senior Vice President, Chief People and Legal Officer and Secretary Rockwell Automation, Inc. 1201 South |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Aut |
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| April 27, 2023 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Second Quarter 2023 Results; Updates Fiscal 2023 Guidance •Reported sales up 25.8% year over year; organic sales up 27.3% year over year •Total ARR up 15% year over y |
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| April 27, 2023 |
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): April 27, 2023 (April 27, 2023) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| April 27, 2023 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 April 27, 2023 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| February 28, 2023 |
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 Inco |
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| February 14, 2023 |
PTC / PTC Inc / ROCKWELL AUTOMATION, INC - SC 13D/A Activist Investment SC 13D/A 1 d381480dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 4)* Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Senior Vice President, Chief People and Legal Officer and Secretary Rockwe |
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| February 10, 2023 |
Submission of Matters to a Vote of Security Holders 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 10, 2023 (February 7, 2023) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incor |
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| February 9, 2023 |
Rockwell Automation Elects Alice L. Jolla to Board of Directors News Release Exhibit 99 1201 South Second Street Milwaukee, WI 53204 www.rockwellautomation.com Rockwell Automation Elects Alice L. Jolla to Board of Directors MILWAUKEE (Feb. 9, 2023) — Rockwell Automation, Inc. (NYSE: ROK), the world’s largest company dedicated to industrial automation and digital transformation, today announced that Alice L. Jolla was elected to its board of directors effective |
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| February 9, 2023 |
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 9, 2023 (February 8, 2023) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporat |
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| February 9, 2023 |
ROK / Rockwell Automation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01812-rockwellautomationin.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: Rockwell Automation Inc. Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box |
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| January 26, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): January 26, 2023 (January 26, 2023) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| January 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell |
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| January 26, 2023 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ed Moreland Media Relations Rockwell Automation 571.296.0391 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports First Quarter 2023 Results; Updates Fiscal 2023 Guidance •Reported sales up 6.7% year over year; organic sales up 9.9% year over year ◦Currency reduced sales (4.0)% ◦ |
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| January 26, 2023 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 January 26, 2023 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| December 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 21, 2022 |
COURTESY PDF OF PROXY STATEMENT FEBRUARY 7, 2023 AT 5:30 P.M. CST NOTICE OF ANNUAL MEETING AND PROXY STATEMENT 2023 % @ ' ,6:@7577 |
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| December 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-12383 Rockwell Automat |
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| November 8, 2022 |
List of Subsidiaries of the Company. Exhibit 21 ROCKWELL AUTOMATION, INC. LIST OF SUBSIDIARIES OF THE COMPANY AS OF SEPTEMBER 30, 2022 Percentage of Voting Securities Owned By Name Jurisdiction Registrant Subsidiary Allen-Bradley Technical Services LLC Wisconsin 100 % Asem, S.r.l Italy 100 % Maverick Technologies, LLC Missouri 100 % Plex Systems Holdings, Inc. Delaware 100 % Plex Systems, Inc. Delaware 100 % Rockwell Automation (Chin |
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| November 8, 2022 |
Exhibit 24 POWER OF ATTORNEY I, the undersigned Director or Officer of Rockwell Automation, Inc. |
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| November 2, 2022 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Fourth Quarter and Full Year 2022 Results; Introduces Fiscal 2023 Guidance ?Full year orders over $10 billion, up over 20% year over year ?Fourth quarter reported sa |
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| November 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 2, 2022 (November 2, 2022) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| October 21, 2022 |
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): October 21, 2022 (September 30, 2022) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Inco |
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| October 21, 2022 |
Exhibit 99.2 CHANGE OF CONTROL AGREEMENT CHANGE OF CONTROL AGREEMENT by and between Rockwell Automation, Inc., a Delaware corporation (the ?Company?), and (the ?Executive?), dated as of the 30th day of September, 2022 (this ?Agreement?). The Board of Directors of the Company (the ?Board?), has determined that it is in the best interests of the Company and its shareowners to assure that the Company |
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| October 21, 2022 |
Exhibit 99.1 CHANGE OF CONTROL AGREEMENT CHANGE OF CONTROL AGREEMENT by and between Rockwell Automation, Inc., a Delaware corporation (the ?Company?), and Blake D. Moret (the ?Executive?), dated as of the 30th day of September, 2022 (this ?Agreement?). The Board of Directors of the Company (the ?Board?), has determined that it is in the best interests of the Company and its shareowners to assure t |
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| July 27, 2022 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Aijana Zellner Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Third Quarter 2022 Results; Updates Fiscal 2022 Guidance ?Total orders up 17% year over year ?Reported sales up 6.5% year over year; organic sales up 7.1% ?Acquisiti |
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| July 27, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 27, 2022 (July 27, 2022) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporatio |
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| July 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Auto |
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| July 27, 2022 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. EX-15 2 q3fy22rokex15.htm EX-15 Exhibit 15 July 27, 2022 The Board of Directors and Shareowners of Rockwell Automation, Inc. 1201 South Second Street Milwaukee, Wisconsin 53204 We are aware that our report dated July 27, 2022, on our review of the interim financial information of Rockwell Automation, Inc. and subsidiaries appearing in this Quarterly Report on Form 10-Q for the quarter ended June 3 |
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| July 11, 2022 |
ROK / Rockwell Automation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Rockwell Automation Inc. Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: June 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| July 1, 2022 |
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): July 1, 2022 (June 29, 2022) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporation |
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| July 1, 2022 |
Exhibit 99 Execution Version Published Deal CUSIP: 77432KAQ4 Published Revolver CUSIP: 77432KAR2 $1,500,000,000 FIVE-YEAR CREDIT AGREEMENT dated as of June 29, 2022 among ROCKWELL AUTOMATION, INC. |
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| June 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ? ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| June 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ? ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12383 A. Full title of the plan |
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| June 3, 2022 |
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): June 3, 2022 (May 31, 2022) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporation) |
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| June 1, 2022 |
PTC / PTC Inc / ROCKWELL AUTOMATION, INC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 3)* Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Senior Vice President, Chief People and Legal Officer and Secretary Rockwell Automation, Inc. 1201 South |
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| May 27, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form SD (Specialized Disclosure Report) Rockwell Automation, Inc. Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 1201 South Second Street, Milwaukee, Wisconsin 53204 (Address of principal executive offices) (Zip code) Michael |
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| May 27, 2022 |
EX-1.01 2 d305452dex101.htm EX-1.01 Exhibit 1.01 Conflict Minerals Report OF ROCKWELL AUTOMATION, INC. IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2021 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in t |
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| May 3, 2022 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 May 3, 2022 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| May 3, 2022 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Second Quarter 2022 Results; Updates Fiscal 2022 Guidance ?Total orders up 37% year over year and up sequentially ?Reported sales up 1.8% year over year; organic s |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Aut |
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| May 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 3, 2022 (May 3, 2022) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporation) ( |
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| February 10, 2022 |
ROK / Rockwell Automation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: Rockwell Automation Inc. Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 4, 2022 |
Submission of Matters to a Vote of Security Holders 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 4, 2022 (February 1, 2022) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| February 3, 2022 |
Rockwell Automation Elects Robert Soderbery to Board of Directors News Release Exhibit 99 Rockwell Automation Elects Robert Soderbery to Board of Directors MILWAUKEE ? Rockwell Automation, Inc. |
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| February 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 3, 2022 (February 2, 2022) Rockwell Automation, Inc. |
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| January 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell |
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| January 27, 2022 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports First Quarter 2022 Results ?Record quarterly orders of $2.5 billion, up over 40% year over year ?Reported sales up 18.7% year over year; organic sales up 16.8% ?Ac |
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| January 27, 2022 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 January 27, 2022 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| January 27, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): January 27, 2022 (January 27, 2022) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| December 22, 2021 |
DEF 14A 1 lrok2021def14a.htm ROCKWELL AUTOMATION, INC - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE CO |
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| December 22, 2021 | ||
| December 22, 2021 |
DEFA14A 1 lrok2021defa14a.htm ROCKWELL AUTOMATION, INC - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE C |
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| December 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): December 6, 2021 (December 1, 2021) Rockwell Automation, Inc. |
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| November 9, 2021 |
List of Subsidiaries of the Company. Exhibit 21 ROCKWELL AUTOMATION, INC. LIST OF SUBSIDIARIES OF THE COMPANY AS OF SEPTEMBER 30, 2021 Percentage of Voting Securities Owned By Name Jurisdiction Registrant Subsidiary Asem, S.r.l Italy 100 % Fiix, Inc. Canada 100 % Kalypso, LLC Delaware 100 % Maverick Technologies, LLC Missouri 100 % Plex Systems Holdings, Inc. Delaware 100 % Plex Systems, Inc. Delaware 100 % Rockwell Automation (China |
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| November 9, 2021 |
Letter Agreement dated March 1, 2021 between Registrant and Nicholas C. Gangestad Exhibit 10-e-6 March 1, 2021 Nicholas Gangestad Senior Vice President & Chief Financial Officer Rockwell Automation, Inc. |
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| November 9, 2021 |
Summary of Non-Employee Director Compensation and Benefits as of October 1, 2021. Exhibit 10-a-7 Summary of Non-Employee Director Compensation and Benefits* (as of October 1, 2021) 1. |
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| November 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-1238 |
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| November 9, 2021 |
Exhibit 24 POWER OF ATTORNEY I, the undersigned Director or Officer of Rockwell Automation, Inc. |
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| November 8, 2021 |
PTC / PTC Inc / ROCKWELL AUTOMATION, INC - SC 13D/A Activist Investment SC 13D/A 1 d127462dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2)* Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Senior Vice President, Chief People and Legal Officer and Secretary Rockwe |
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| November 8, 2021 |
Exhibit 4 [], 20[ ] BofA Securities, Inc. Bank of America Tower One Bryant Park New York, NY 10036 Attention: [ ] Telephone: [ ] Email: [ ] Re: Sale Under Rule 144 Pursuant to Rule 10b5-1 Plan Ladies and Gentlemen: This agreement dated as of [], 20[ ] (this ?Agreement?) between Rockwell Automation, Inc. (the ?Client?) and BofA Securities, Inc. (?Broker?), acting as sales agent for the Client, is i |
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| November 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 2, 2021 (November 2, 2021) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| November 2, 2021 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Fourth Quarter and Full Year 2021 Results; Introduces Fiscal 2022 Guidance ?Record quarterly orders of $2.2 billion, up over 40% year over year ?Fourth quarter rep |
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| September 1, 2021 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 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): September 1, 2021 (August 31, 2021) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporat |
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| August 17, 2021 |
Form of certificate for the Company’s 2.800% Notes due August 15, 2061. Exhibit 4.3 [FACE OF NOTE] UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (THE ?DEPOSITARY?) (55 WATER STREET, NEW YORK, NEW YORK), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS REQUESTED BY AN AUT |
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| August 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): August 17, 2021 (August 17, 2021) Rockwell Automation, Inc. |
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| August 17, 2021 |
Form of certificate for the Company’s 1.750% Notes due August 15, 2031. Exhibit 4.2 [FACE OF NOTE] UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (THE ?DEPOSITARY?) (55 WATER STREET, NEW YORK, NEW YORK), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS REQUESTED BY AN AUT |
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| August 17, 2021 |
Form of certificate for the Company’s 0.350% Notes due August 15, 2023. Exhibit 4.1 [FACE OF NOTE] UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (THE ?DEPOSITARY?) (55 WATER STREET, NEW YORK, NEW YORK), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS REQUESTED BY AN AUT |
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| August 4, 2021 |
Rockwell Automation Announces Notes Offering Exhibit 99.1 Rockwell Automation Announces Notes Offering MILWAUKEE ? August 3, 2021 ? Rockwell Automation, Inc. (NYSE: ROK) today announced that it is offering three series of its notes, subject to market and other conditions. Rockwell Automation intends to use the net proceeds it receives from this offering to partially fund the purchase price in its anticipated acquisition of Plex Systems. BofA |
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| August 4, 2021 |
Exhibit 1 Rockwell Automation, Inc. $600,000,000 0.350% Notes due 2023 $450,000,000 1.750% Notes due 2031 $450,000,000 2.800% Notes due 2061 Underwriting Agreement August 3, 2021 BofA Securities, Inc. One Bryant Park New York, New York 10036 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 Loop Capital Markets LLC 111 W Jackson Blvd #1901 Chicago, IL 60604 Wells Fargo Securities, L |
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| August 4, 2021 |
Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-228817 CALCULATION OF REGISTRATION FEE Title of each class of securities to be registered Proposed Maximum Aggregate Offering Price Amount of Registration Fee(1) 0.350% Notes due 2023 $600,000,000 $65,460 1.750% Notes due 2031 $450,000,000 $49,095 2.800% Notes due 2061 $450,000,000 $49,095 (1) Calculated in accordance with Rul |
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| August 4, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): August 4, 2021 (August 3, 2021) Rockwell Automation, Inc. |
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| August 4, 2021 |
Rockwell Automation Prices $1.5 Billion of Notes Offering Exhibit 99.2 Rockwell Automation Prices $1.5 Billion of Notes Offering MILWAUKEE ? August 4, 2021 ? Rockwell Automation, Inc. (NYSE: ROK) today announced that on August 3, 2021, it priced notes in an aggregate principal amount of $1.5 billion, in an underwritten, registered public offering. One series, consisting of $600 million of notes, will mature on August 15, 2023 and will bear interest at an |
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| August 3, 2021 |
FWP 1 d168043dfwp.htm FWP Free Writing Prospectus Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated August 3, 2021 to the Prospectus dated December 14, 2018 Registration No. 333-228817 Rockwell Automation, Inc. Pricing Term Sheet August 3, 2021 $600,000,000 0.350% Senior Notes due 2023 $450,000,000 1.750% Senior Notes due 2031 $450,000,000 2.800% Senior Notes due 2 |
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| August 3, 2021 |
Table of Contents The information in this preliminary prospectus supplement is not complete and may be changed. |
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| July 27, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 27, 2021 (July 27, 2021) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporatio |
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| July 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Auto |
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| July 27, 2021 |
EX-99 2 q3fy21ex99.htm EX-99 Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Third Quarter Fiscal 2021 Results; Updates Fiscal 2021 Guidance •Reported sales up 32.6 percent year over year; organic sales up 26.4 |
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| July 27, 2021 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 July 27, 2021 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| June 25, 2021 |
EX-10.1 2 d21645dex101.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among PLEX SYSTEMS HOLDINGS, INC., A DELAWARE CORPORATION, ROCKWELL AUTOMATION, INC., A DELAWARE CORPORATION, ROCKWELL AUTOMATION US HOLDINGS, INC., A DELAWARE CORPORATION, and FRANCISCO PARTNERS MANAGEMENT LLC, solely in its capacity as the Representative June 24, 2021 Table of Contents Page ARTI |
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| June 25, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 25, 2021 (June 24, 2021) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporation) ( |
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| June 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K 11-K 1 rok2020pr11-k.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12 |
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| June 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K 11-K 1 rok2020ra11-k.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12 |
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| May 26, 2021 |
Exhibit 1.01 Conflict Minerals Report OF ROCKWELL AUTOMATION, INC. IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2020 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (?Rule 13p-1?). Numerous terms in this Conflict Minerals Report are def |
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| May 26, 2021 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form SD (Specialized Disclosure Report) Rockwell Automation, Inc. Delaware 1-12383 25-1797617 (State or other jurisdiction of (Commission (IRS Employer incorporation or organization) File Number) Identification No.) 1201 South Second Street, Milwaukee, Wisconsin 53204 (Address of principal executive offices) (Zip code) Michael |
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| May 13, 2021 |
Amendment No. 1 to the Securities Purchase Agreement, dated May 11, 2021, between Rockwell and PTC. Exhibit 10.1 AMENDMENT NO. 1 TO THE SECURITIES PURCHASE AGREEMENT This Amendment No. 1 (?Amendment No. 1?) is made as of May 11, 2021 to the Securities Purchase Agreement executed on June 11, 2018 (?SPA?) by and between Rockwell Automation, Inc. (?RA?), and PTC Inc. (?PTC,? and together with RA, the ?Parties?). RECITALS WHEREAS, the Parties entered into the Third Amended and Restated Strategic All |
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| May 13, 2021 |
SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1) Under the Securities Exchange Act of 1934 PTC Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 69370C100 (CUSIP Number) Rebecca W. House Rockwell Automation, Inc. 1201 South Second Street Milwaukee, Wisconsin 53204 (414) 382-2000 (Name, Addre |
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| May 13, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): May 11, 2021 (May 13, 2021) Rockwell Automation, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 1-12383 25-1797617 (State or Other Jurisdiction of Incorporation) (Co |
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| April 28, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 28, 2021 (April 28, 2021) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| April 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Aut |
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| April 28, 2021 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. EX-15 2 q2fy21rokex15.htm EX-15 Exhibit 15 April 28, 2021 The Board of Directors and Shareowners of Rockwell Automation, Inc. 1201 South Second Street Milwaukee, Wisconsin 53204 We are aware that our report dated April 28, 2021, on our review of the interim financial information of Rockwell Automation, Inc. and subsidiaries appearing in this Quarterly Report on Form 10-Q for the quarter ended Marc |
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| April 28, 2021 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Second Quarter Fiscal 2021 Results; Updates Fiscal 2021 Guidance ?Reported sales up 5.6 percent year over year; organic sales up 1.3 percent ?Record orders over $2 |
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| February 16, 2021 |
Exhibit 99 Rockwell Automation Announces New Chief Financial Officer Nicholas Gangestad to join the company on March 1 MILWAUKEE ? Rockwell Automation, Inc. |
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| February 16, 2021 |
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 16, 2021 (February 15, 2021) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: Rockwell Automation Inc. Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 5, 2021 |
Submission of Matters to a Vote of Security Holders 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 5, 2021 (February 2, 2021) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| January 26, 2021 |
Exhibit 10.2* ROCKWELL AUTOMATION, INC. RESTRICTED STOCK UNIT AGREEMENT FOR U.S. EMPLOYEES To: In accordance with Section 4d of the Rockwell Automation, Inc. 2020 Long-Term Incentives Plan (the “Plan”), restricted stock units (“Restricted Stock Units”) of Rockwell Automation, Inc. have been granted to you effective (the “award date”), upon the terms and conditions of this Restricted Stock Unit Agr |
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| January 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell |
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| January 26, 2021 |
Exhibit 10.1* ROCKWELL AUTOMATION 2020 LONG-TERM INCENTIVES PLAN STOCK OPTION AGREEMENT FOR U.S. EMPLOYEES To: We are pleased to notify you that you have been granted the following stock options (the “Options”) under the Rockwell Automation, Inc. 2020 Long-Term Incentives Plan (the “Plan”): Date of Grant Type of Grant Number of Shares Award Price The Options are granted under and may be exercised |
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| January 26, 2021 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 January 26, 2021 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| January 26, 2021 |
Exhibit 10.3* ROCKWELL AUTOMATION, INC. 2020 LONG-TERM INCENTIVES PLAN PERFORMANCE SHARE AGREEMENT FOR U.S. EMPLOYEES To: In accordance with Section 4(f) of the 2020 Long-Term Incentives Plan (the “Plan”) of Rockwell Automation, Inc., Performance Shares (as defined in the Plan) have been granted to you today upon the terms and conditions of this Performance Share Agreement for U.S. Employees (the |
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| January 26, 2021 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports First Quarter Fiscal 2021 Results; Updates Fiscal 2021 Guidance •Reported sales down 7.1 percent year over year; organic sales down 9.7 percent •Total orders up do |
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| January 26, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): January 26, 2021 (January 26, 2021) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| December 23, 2020 |
- ROCKWELL AUTOMATION, INC - DEFA14A Rockwell Automation, Inc. - DEFA 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED |
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| December 23, 2020 |
- ROCKWELL AUTOMATION, INC - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) Definitive Prox |
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| December 23, 2020 |
- COURTESY PDF OF PROXY STATEMENT begin 644 lrok2020def14a.pdf M)5!$1BTQ+C0-)>+CS],-"C0R,B P(&]B:@T\/"],:6YE87)I>F5D(#$O3" X M.38Y-3,O3R T,C4O12 T.3DW-2].(#@P+U0@.#@X,SDW+T@@6R Y.38@,C8W M-%T^/@UE;F1O8FH-(" @(" @(" @(" @( UXKANP6WK!G5]M(OB71N0X]C#N+ M#\R^2RUQS*;J6:Y6-NP=SB&.2YQ:G')8I7/6+MM<=S*7%K-^YUVF/0/1@JVS ME5?I#X*>>6G9O4QER6%+^=,I[%C$'B9Y@K?6H8BBH<^TL]V?0%H>L^. M&:%4]%BF?7QG7:7DKZ0'N=8>N5;?[U =:ER8\B;DUU/C8DVE>-V5ZH?56^< M7[? |
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| November 10, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K 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): November 10, 2020 (November 10, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| November 10, 2020 |
Exhibit 99 Rockwell Automation Provides Historical Data for new Operating Segments and Announces Change to Definitions of Adjusted Income and Adjusted EPS Rockwell Automation, Inc. |
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| November 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 10, 2020 (November 10, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| November 10, 2020 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Marci Pelzer Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Fourth Quarter and Full Year 2020 Results; Introduces Fiscal 2021 Guidance • Fourth quarter reported sales down 9.3 percent year-over-year; organic sales down 12.1 |
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| November 10, 2020 |
Exhibit 10-b-13 ROCKWELL AUTOMATION, INC. RESTRICTED STOCK UNIT AGREEMENT To: In accordance with Section 4d of the Rockwell Automation, Inc. 2020 Long-Term Incentives Plan (the “Plan”), restricted stock units (“Restricted Stock Units”) of Rockwell Automation, Inc. have been granted to you effective (the “award date”), upon the terms and conditions of this Restricted Stock Unit Agreement (this “Agr |
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| November 10, 2020 |
List of Subsidiaries of the Company. Exhibit 21 ROCKWELL AUTOMATION, INC. LIST OF SUBSIDIARIES OF THE COMPANY AS OF SEPTEMBER 30, 2020 Percentage of Voting Securities Owned By Name Jurisdiction Registrant Subsidiary Asem, S.r.l Italy 100 % Kalypso, LLC Delaware 100 % Maverick Technologies, LLC Missouri 100 % Nuad Corporation Delaware 100 % Rockwell Automation (China) Company Limited China 100 % Rockwell Automation Asia Pacific Busine |
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| November 10, 2020 |
Exhibit *10-d-1 ROCKWELL AUTOMATION, INC. INCENTIVE COMPENSATION PLAN (Effective Date: October 1, 2020) 1. Purposes The purposes of the Incentive Compensation Plan (the "Plan") are to provide a reward and an incentive to employees of the Corporation who have contributed and in the future are likely to contribute to the success of the Corporation and to enhance the Corporation's ability to attract |
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| November 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-1238 |
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| November 10, 2020 |
Summary of Non-Employee Director Compensation and Benefits as of October 1, 2020. Exhibit *10-a-7 Summary of Non-Employee Director Compensation and Benefits* (as of October 1, 2020) 1. |
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| November 10, 2020 |
Exhibit 24 POWER OF ATTORNEY I, the undersigned Director or Officer of Rockwell Automation, Inc. |
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| November 10, 2020 |
Exhibit 10-b-14 ROCKWELL AUTOMATION, INC. GLOBAL RESTRICTED STOCK UNIT AGREEMENT To: In accordance with Section 4d of the Rockwell Automation, Inc. 2020 Long-Term Incentives Plan (the “Plan”), restricted stock units (“Restricted Stock Units”) of Rockwell Automation, Inc. have been granted to you effective (the “award date”), upon the terms and conditions of this Restricted Stock Unit Agreement (th |
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| November 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): November 5, 2020 (November 4, 2020) Rockwell Automation, Inc. |
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| November 5, 2020 |
Rockwell Automation Elects William P. Gipson to Board of Directors EX-99 News Release Exhibit 99 Rockwell Automation Elects William P. Gipson to Board of Directors (Milwaukee, WI) – November 5, 2020 – Rockwell Automation, Inc. (NYSE: ROK), the world’s largest company dedicated to industrial automation and digital transformation, today announced that William P. Gipson was elected to its board of directors effective November 4, 2020. Gipson spent his career at The |
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| October 19, 2020 |
Rockwell Automation Announces CFO Transition EX-99 Exhibit 99 Rockwell Automation Announces CFO Transition MILWAUKEE – October 19, 2020 – Rockwell Automation, Inc. |
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| October 19, 2020 |
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): October 19, 2020 (October 13, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| September 1, 2020 |
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): September 1, 2020 (August 27, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| July 28, 2020 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Kolve Byrd Media Relations Rockwell Automation 414.382.5465 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Third Quarter Fiscal 2020 Results and Announces New Operating Segments Beginning in Fiscal 2021 • Reported sales down 16.3 percent year over year; organic sales down |
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| July 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Auto |
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| July 28, 2020 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 July 28, 2020 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| July 28, 2020 |
Exhibit 10.1 ROCKWELL AUTOMATION, INC. 2020 LONG-TERM INCENTIVES PLAN RESTRICTED STOCK AGREEMENT To: In accordance with Section 4(c) of the Rockwell Automation, Inc. 2020 Long-Term Incentives Plan (the Plan), shares (Restricted Shares) of Stock (as defined in the Plan) of Rockwell Automation, Inc. (Rockwell Automation or Corporation) have been granted to you, effective (award date), as Restricted |
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| July 28, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events 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): July 28, 2020 (July 28, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporatio |
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| June 26, 2020 |
11-K 1 rok2019ra11-k.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12 |
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| June 26, 2020 |
11-K 1 rok2019pr11-k.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☑ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 1-12 |
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| June 10, 2020 |
ROK / Rockwell Automation, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: Rockwell Automation Inc. Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: May 29, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| May 28, 2020 |
Form SD United States Securities and Exchange Commission Washington, D.C. 20549 Form SD (Specialized Disclosure Report) Rockwell Automation, Inc. Delaware 1-12383 25-1797617 (State or other jurisdiction of (Commission (IRS Employer incorporation or organization) File Number) Identification No.) 1201 South Second Street, Milwaukee, Wisconsin 53204 (Address of principal executive offices) (Zip code) |
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| May 28, 2020 |
EX-1.01 Exhibit 1.01 Conflict Minerals Report OF ROCKWELL AUTOMATION, INC. IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2019 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Conflict Minerals Report |
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| April 28, 2020 |
Summary of Non-Employee Director Compensation and Benefits effective as of April 7, 2020. Exhibit 10.2 Summary of Non-Employee Director Compensation and Benefits* (as of April 7, 2020) 1. Annual Retainer Fees** Independent Directors • $53,750 in cash paid quarterly. Directors may elect to defer all or part of the cash payment of retainer fees (i) until such time as specified, with interest on deferred amounts accruing quarterly at 120% of the Federal long-term rate set each month by th |
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| April 28, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 28, 2020 (April 28, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| April 28, 2020 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Kolve Byrd Media Relations Rockwell Automation 414.382.5465 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Second Quarter 2020 Results • Supporting customers in critical industries globally • Reported sales up 1.5 percent year over year; organic sales flat • Inorganic inv |
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| April 28, 2020 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 April 28, 2020 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| April 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell Aut |
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| April 21, 2020 |
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): April 21, 2020 (April 20, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporat |
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| April 21, 2020 |
EX-99 Exhibit 99 Published Deal CUSIP: 77432KAN1 Published Facility CUSIP: 77432KAP6 $400,000,000 364-DAY TERM LOAN CREDIT AGREEMENT dated as of April 20, 2020 among ROCKWELL AUTOMATION, INC. |
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| April 8, 2020 |
Exhibit 99 Rockwell Automation Provides COVID-19 Business Update Company to Report Fiscal 2020 Second Quarter Results on April 28 MILWAUKEE - April 8, 2020 — Rockwell Automation, Inc. |
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| April 8, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 8, 2020 (April 8, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorporatio |
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| February 21, 2020 |
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 21, 2020 (February 14, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| February 12, 2020 |
ROK / Rockwell Automation, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)* Name of issuer: Rockwell Automation Inc Title of Class of Securities: Common Stock CUSIP Number: 773903109 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| February 7, 2020 |
Submission of Matters to a Vote of Security Holders 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 7, 2020 (February 4, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| February 5, 2020 |
EX-24 Exhibit 24 POWER OF ATTORNEY I, the undersigned Director and/or Officer of Rockwell Automation, Inc. |
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| February 5, 2020 |
Consent of Deloitte & Touche LLP, an independent registered public accounting firm. EX-23.a Exhibit 23-a CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form S-8 of our report dated November 12, 2019, relating to the consolidated financial statements and financial statement schedule of Rockwell Automation, Inc., and the effectiveness of Rockwell Automation Inc.’s internal control over financia |
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| February 5, 2020 |
Consent of Norton Rose Fulbright US LLP. EX-23.c Exhibit 23-c CONSENT OF COUNSEL We hereby consent to the reference to this firm and to the inclusion of the summary of our opinion under the caption “Tax Consequences” in the Prospectus related to this Registration Statement on Form S-8 filed by Rockwell Automation, Inc. /s/ Norton Rose Fulbright US LLP Norton Rose Fulbright US LLP 1301 Avenue of the Americas New York, New York 10019 Febru |
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| February 5, 2020 |
Letter of Deloitte & Touche LLP regarding Unaudited Interim Financial Information. EX-15 Exhibit 15 February 5, 2020 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| February 5, 2020 |
Copy of Rockwell Automation, Inc. 2020 Long-Term Incentives Plan. EX-4.c Exhibit 4-c ROCKWELL AUTOMATION, INC. 2020 LONG-TERM INCENTIVES PLAN Section 1: Purpose The purpose of the Plan is to promote the interests of the Corporation and its shareowners by providing incentive compensation opportunities to assist in (i) attracting, motivating and retaining Employees, Prospective Employees and Non-Employee Directors and (ii) aligning the interests of Employees, Pros |
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| February 5, 2020 |
ROK / Rockwell Automation, Inc. S-8 - - S-8 S-8 As filed with the Securities and Exchange Commission on February 5, 2020. Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 25-1797617 (State or other jurisdiction of (I.R.S. Employer inc |
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| January 29, 2020 |
Letter of Deloitte & Touche LLP regarding Unaudited Financial Information. Exhibit 15 January 29, 2020 The Board of Directors and Shareowners of Rockwell Automation, Inc. |
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| January 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-12383 Rockwell |
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| January 29, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): January 29, 2020 (January 29, 2020) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incorp |
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| January 29, 2020 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ike Umunnah Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports First Quarter 2020 Results • Reported sales up 2.6 percent year over year; organic sales down 1.0 percent • Inorganic investments contributed 4.5 percent to reporte |
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| January 7, 2020 |
ROK / Rockwell Automation, Inc. DEFA14A - - ROCKWELL AUTOMATION, INC - DEFA14A DEFA14A 1 lrok2019defa14a.htm ROCKWELL AUTOMATION, INC - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE C |
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| December 19, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) Definitive Prox |
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| December 19, 2019 |
ROK / Rockwell Automation, Inc. DEF 14A - - COURTESY PDF OF PROXY STATEMENT begin 644 lrok2019def14a.pdf M)5!$1BTQ+C8-)>+CS],-"C4R,R P(&]B:@T\/"],:6YE87)I>F5D(#$O3" W M-S8S-3DO3R U,C4O12 X,S$U.2].(#DW+U0@-S%LU,C,@ M-#5=+TEN9F\@-3(R(# @4B],96YG=&@@,3$S+U!R978@-S7!E+UA2968O5ULQ(#,@,5T^/G-T 7=?!O!,-8+=F =35M%U%33;2 M6]N.CK;0NK)U3),RL=*T*2OC:VPPRCZ0#-DF($,DM&XFB ,GF]$$=)\$=8,) M&*8@/P#&2#SGGKNM8N(?X/VA/><][L\SN4O6A*M[ZQ:^-0&8ECT5W \<#>3>]VI79+1*(QOKQWW?A@O;=V7E5R;EQ0L"THXX4)@ |
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| December 19, 2019 |
ROK / Rockwell Automation, Inc. DEFA14A - - ROCKWELL AUTOMATION, INC - DEFA14A DEFA14A 1 lrok2019defa14a.htm ROCKWELL AUTOMATION, INC - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement CONFIDENTIAL, FOR USE OF THE C |
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| November 12, 2019 |
EX-5.b Exhibit 5-b November 12, 2019 BY ELECTRONIC MAIL Mrs. Karen A. Balistreri Rockwell Automation, Inc. 1201 S. 2nd Street E7-F19 Milwaukee, WI 53204 USA Re: Rockwell Automation 1165(e) Plan Dear Mrs. Balistreri: This letter is in response to your inquiry as to whether: (i) the Rockwell Automation 1165(e) Plan (the “Plan”) is exempt from taxation under the Puerto Rico Internal Revenue Code of 2 |
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| November 12, 2019 |
Consent of Adsuar Muñiz Goyco Seda & Pérez-Ochoa, P.S.C. EX-23.c Exhibit 23-c CONSENT OF COUNSEL We hereby consent to the reference to this firm and to the inclusion of our opinion with respect to compliance of the Rockwell Automation 1165(e) Plan with Section 1022(i)(1) of the Employee Retirement Income Security Act of 1974 (“ERISA”) in the Prospectuses related to this Registration Statement on Form S-8 filed by Rockwell Automation, Inc. in respect of |
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| November 12, 2019 |
Copy of Fourth Amendment to Rockwell Automation 1165(e) Plan dated August 9, 2018. EX-4.c.2 Exhibit 4-c-2 Fourth Amendment Rockwell Automation 1165(e) Plan The undersigned, Harry A. Malone, Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby approve, for and on behalf of the Corporation, the following amendments to the R |
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| November 12, 2019 |
Exhibit 24 POWER OF ATTORNEY I, the undersigned Director or Officer of Rockwell Automation, Inc. |
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| November 12, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 12, 2019 (November 12, 2019) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of inco |
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| November 12, 2019 |
Exhibit 4-a-9 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of September 30, 2019, Rockwell Automation, Inc. |
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| November 12, 2019 |
Consent of Deloitte & Touche LLP, an independent registered public accounting firm. EX-23.a Exhibit 23-a CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form S-8 of our report dated November 12, 2019, relating to the consolidated financial statements and financial statement schedule of Rockwell Automation, Inc., and the effectiveness of Rockwell Automation Inc.’s internal control over financia |
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| November 12, 2019 |
ROK / Rockwell Automation, Inc. S-8 - - FORM S-8 Form S-8 As filed with the Securities and Exchange Commission on November 12, 2019. |
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| November 12, 2019 |
EX-24 Exhibit 24 POWER OF ATTORNEY I, the undersigned Director and/or Officer of Rockwell Automation, Inc. |
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| November 12, 2019 |
Exhibit 10-b-10 ROCKWELL AUTOMATION, INC. 2012 LONG-TERM INCENTIVES PLAN RESTRICTED STOCK AGREEMENT To: In accordance with Section 4(c) of the Rockwell Automation, Inc. 2012 Long-Term Incentives Plan (the Plan), shares (Restricted Shares) of Stock (as defined in the Plan) of Rockwell Automation, Inc. (Rockwell Automation) have been granted to you, effective (award date), as Restricted Stock (as de |
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| November 12, 2019 |
EX-5.a Exhibit 5-a November 12, 2019 Rockwell Automation, Inc. 1201 South 2nd Street Milwaukee, WI 53204 Ladies and Gentlemen: I am Senior Vice President, General Counsel and Secretary of Rockwell Automation, Inc., a Delaware corporation (the “Company”), and am delivering this opinion in connection with the filing by the Company of a Registration Statement on Form S-8 (the “Registration Statement” |
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| November 12, 2019 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-1238 |
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| November 12, 2019 |
Consent of Baker Tilly Virchow Krause, LLP, an independent registered public accounting firm. EX-23.b Exhibit 23-b CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in the Registration Statement of Rockwell Automation, Inc. on Form S-8 for Rockwell Automation 1165(e) Plan of our report dated June 18, 2019, relating to the financial statements and supplemental schedule of the Rockwell Automation 1165(e) Plan as of December 31, 2018 and 201 |
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| November 12, 2019 |
Consent of Quarles & Brady LLP. EX-23.e Exhibit 23-e CONSENT OF COUNSEL We hereby consent to the reference to this firm and to the inclusion of the summary of our opinion under the caption “Summary of Tax Consequences” in the Prospectuses related to this Registration Statement on Form S-8 filed by Rockwell Automation, Inc. in respect of the Rockwell Automation 1165(e) Plan. QUARLES & BRADY LLP Milwaukee, Wisconsin 53202 November |
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| November 12, 2019 |
List of Subsidiaries of the Company. Exhibit 21 ROCKWELL AUTOMATION, INC. LIST OF SUBSIDIARIES OF THE COMPANY AS OF SEPTEMBER 30, 2019 Percentage of Voting Securities Owned By Name Jurisdiction Registrant Subsidiary Maverick Technologies, LLC Missouri 100% Nuad Corporation Delaware 100% Rockwell Automation (China) Company Limited China 100% Rockwell Automation Switzerland G.m.b.H Switzerland 100% Rockwell Automation Asia Pacific Busi |
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| November 12, 2019 |
Exhibit 99 1201 S. Second Street Milwaukee, WI 53204 USA News Release Contact Ike Umunnah Media Relations Rockwell Automation 414.382.5679 Jessica Kourakos Investor Relations Rockwell Automation 414.382.8510 Rockwell Automation Reports Fourth Quarter and Full Year 2019 Results; Provides Fiscal 2020 Guidance • Fourth quarter reported sales flat year over year; organic sales up 1.4 percent • Fourth |
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| October 1, 2019 |
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): October 1, 2019 (September 30, 2019) Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) Delaware 1-12383 25-1797617 (State or other jurisdiction of incor |
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| October 1, 2019 |
EX-99.2 Exhibit 99.2 CHANGE OF CONTROL AGREEMENT CHANGE OF CONTROL AGREEMENT by and between Rockwell Automation, Inc., a Delaware corporation (the “Company”), and (the “Executive”), dated as of the 30th day of September, 2019 (this “Agreement”). The Board of Directors of the Company (the “Board”), has determined that it is in the best interests of the Company and its shareowners to assure that the |
