Sec Form 4 Filing - House Rebecca W @ ROCKWELL AUTOMATION, INC - 2021-12-10

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
House Rebecca W
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)
SVP, CLO and Secretary
(Last) (First) (Middle)
1201 SOUTH SECOND STREET
3. Date of Earliest Transaction (MM/DD/YY)
12/10/2021
(Street)
MILWAUKEE, WI53204
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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)
Code V Amount (A) or (D) Price
Common Stock 12/10/2021 M 486 A $ 0 8,236 D
Common Stock 12/13/2021 S( 1 ) 156 D $ 350.1001( 2 ) 8,080 D
Common Stock 12/13/2021 S( 1 ) 73 D $ 350.8948( 3 ) 8,007( 4 ) D
Common Stock 47.79( 5 ) I By savings plan
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 6 ) 12/10/2021 M 486 12/10/2021( 7 ) 12/10/2023 Common Stock 486 $ 0 974 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
House Rebecca W
1201 SOUTH SECOND STREET
MILWAUKEE, WI53204
SVP, CLO and Secretary
Signatures
Karen A. Balistreri, Attorney-in-fact for Rebecca W. House 12/14/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Sale of shares pursuant to a 10b5-1 trading plan entered into on 2/25/2021 to cover taxes due on restricted stock units that vested on 12/10/2021.
( 2 )Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $349.72 to $350.52. 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 $350.77 to $351.23. 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 )Includes 2,140 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
( 5 )Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2021.
( 6 )Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
( 7 )The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.

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).

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