Rockwell Automation Form 4 / SCOTT GENEREUX ownership change

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

GENEREUX SCOTT

(Last)

(First)

(Middle)

1201 SOUTH SECOND STREET

(Street)

MILWAUKEE

53204

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC [ ROK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Sr.VP, Chief Revenue Officer

3. Date of Earliest Transaction (Month/Day/Year)
12/07/2024

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	12/07/2024		M		571	A	$0	3,462	D
Common Stock	12/09/2024		S⁽¹⁾		26	D	$301.8039⁽²⁾	3,436	D
Common Stock	12/09/2024		S⁽¹⁾		252	D	$302.064⁽³⁾	3,184	D
Common Stock	12/09/2024		M		962	A	$0	4,146	D
Common Stock	12/10/2024		S⁽⁴⁾		80	D	$295.2881⁽⁵⁾	4,066	D
Common Stock	12/10/2024		S⁽⁴⁾		181	D	$296.6449⁽⁶⁾	3,885	D
Common Stock	12/10/2024		S⁽⁴⁾		164	D	$297.551⁽⁷⁾	3,721	D
Common Stock	12/10/2024		S⁽⁴⁾		66	D	$298.4076⁽⁸⁾	3,655	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽⁹⁾	12/07/2024		M			571	12/07/2022⁽¹⁰⁾	12/07/2024	Common Stock	571	$0	0	D
Restricted Stock Units	⁽⁹⁾	12/09/2024		M			962	12/09/2023⁽¹⁰⁾	12/09/2025	Common Stock	962	$0	963	D

Explanation of Responses:

1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/30/2023 to cover taxes due on restricted stock units that vested on 12/7/2024.

2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $300.9001 to $301.8401. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.

3. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $302.0000 to $302.1100. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.

4. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/30/2023 to cover taxes due on restricted stock units that vested on 12/9/2024.

5. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $294.8300 to $295.5550. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.

6. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $296.13 to $296.9950. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.

7. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $297.1650 to $298.1400. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.

8. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $298.1850 to $298.9000. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.

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

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

Remarks:

	Danielle White, Attorney-in-fact for Scott Genereux	12/10/2024
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Rockwell Automation (ROK) Form 4ROCKWELL AUTOMATION / SCOTT GENEREUX ownership change