Rockwell Automation, Inc 8-K, filed Feb 28, 2023
Rockwell Automation, Inc (ROK)
About this 8-K
Rockwell Automation, Inc filed this 8-K on February 28, 2023, reporting on events of February 23, 2023.
Items reported
- Item 8.01: Other events
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
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 (
(Exact Name of Registrant as Specified in its Charter)
| (State or Other Jurisdiction of Incorporation) |
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(IRS Employer Identification No.) |
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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Trading |
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
INFORMATION TO BE INCLUDED IN THE REPORT
| Item 8.01. | Other Events. |
On February 23, 2023, Blake D. Moret, Chairman, President and Chief Executive Officer of Rockwell Automation, Inc., entered into a Rule 10b5-1 trading plan with respect to (i) shares of restricted stock units vesting on December 7, 2023 and December 9, 2023, and restricted stock and performance share units vesting on December 10, 2023, (ii) 23,600 shares of common stock issuable upon exercise of stock options awarded to Mr. Moret in 2014, and a total of 1,700 shares of common stock issuable upon exercise of incentive stock options awarded to Mr. Moret in 2013 and 2014, and (iii) 4,855 long shares held in Mr. Moret’s personal brokerage account. The trading plan becomes effective on May 15, 2023. Mr. Moret entered into the plan to sell shares of common stock issuable upon vesting of restricted stock units and performance shares to cover taxes due on vesting and as part of his tax and financial planning strategy to diversify and liquidate nearly expiring options.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| ROCKWELL AUTOMATION, INC. | ||
| (Registrant) | ||
| By | /s/ Rebecca W. House | |
| Rebecca W. House | ||
| Senior Vice President, Chief Legal Officer and Secretary | ||
Date: February 28, 2023