Rockwell Automation (ROK) 10-K risk factor changes: FY2021 vs FY2020

We face the potential harms of natural disasters, [added: including those as a result of climate change,] pandemics, including the COVID-19 pandemic, acts of war, terrorism, international conflicts or other disruptions to our operations, the duration and severity of which are highly uncertain and difficult to predict.

Natural [removed: disasters,] [added: disasters (including but not limited to those as a result of climate change),] pandemics (including the COVID-19 pandemic), acts or threats of war or terrorism, international conflicts, power outages, fires, explosions, equipment failures, sabotage, political instability and the actions taken by governments could cause damage to or disrupt our business operations, our suppliers or our customers, and could create economic instability.

[removed: | • |] [added: -] Our customers are, and continue to be, subject to significant risks and have had, and could continue to have, adverse impacts to their business operations and financial condition related to the COVID-19 pandemic, which could lead to a decrease in their liquidity and/or industrial spending. [removed: This has resulted in, and could continue to result in, a decrease in demand for our hardware and software products, solutions and services, as well as impact our customers’ ability to pay for such hardware and software products, solutions and services. |]

[removed: | • |] [added: -] The COVID-19 pandemic and responses to it have significantly limited or prevented the movement of goods and services worldwide, which has resulted in and could continue to result in disruptions in our supply chain and our difficulty in procuring or inability to procure components and materials necessary for our hardware and software products, solutions and services. [removed: The impact of the COVID-19 pandemic and responses to it has increased and could continue to increase the costs of making and distributing our hardware and software products, solutions and services or result in delays in delivering, or an inability to deliver, them to our customers. |]

[removed: | • |] [added: -] Our workforce may be unable or unwilling to work on-site or travel as a result of [added: vaccine requirements,] event cancellations, facility closures, shelter-in-place, travel and other restrictions and changes in industry practice, or if they, their co-workers or their family members become ill or otherwise require care arrangements. [removed: These workforce disruptions have adversely affected and could continue to adversely affect our ability to operate, including to develop, manufacture, generate sales of, promote, market and deliver our hardware and software products, solutions and services, and provide customer support. |]

The unprecedented and continuously evolving nature of the COVID-19 pandemic make the duration and severity of its impacts [removed: increasingly] difficult to predict, which could limit our ability to respond to those impacts.

Additionally, the impacts described above and other impacts of the COVID-19 pandemic and responses to it could substantially increase the risk to us from the other risks described in this Item [removed: 1A, Risk Factors.][added: 1A.]

Adverse changes in [removed: business] [added: macroeconomic] or industry conditions [removed: and volatility and disruption of the capital and credit markets] may result in decreases in our sales and profitability.

As economic activity slows, credit markets tighten, or sovereign debt concerns arise, companies tend to reduce their levels of capital spending, which could result in decreased demand for our [added: hardware and software] products, solutions and services.

Demand for our hardware and software products, solutions and services is sensitive to industry volatility and risks including those related to commodity prices, supply and demand dynamics, productions costs, [removed: geological,] [added: geological] and political [removed: activities.][added: activities, and environmental regulations including those intended to reduce the impact of climate change.]

The U.K. Financial Conduct Authority, which regulates LIBOR, has announced that it intends to phase out [removed: LIBOR by the end of 2021.][added: LIBOR.]

For additional information, see [removed: Financial Condition] [added: Financial Condition] in [removed: MD&A*.*][added: Item 7.]

We seek to maintain [removed: acceptable] [added: competitive] pricing levels across and within geographic markets by continually developing advanced technologies for new hardware and software products and product enhancements and offering complete solutions for our customers’ business problems.

[removed: Approximately 46 percent] [added: Less than half] of our [added: total] sales in [removed: 2020] [added: 2021] were to customers outside the U.S. In addition, our manufacturing operations, suppliers and employees are located in many places around the world.

[removed: | • |] [added: -] poor quality or an insecure supply chain, which could adversely affect the reliability and reputation of our hardware and software products, solutions and services; [removed: |]

[removed: | • |] [added: -] changes in the cost of these purchases due to inflation, exchange rate fluctuations, taxes, tariffs, commodity market volatility or other factors that affect our suppliers; [removed: |]

[removed: | • |] [added: -] embargoes, sanctions and other trade restrictions that may affect our ability to purchase from various suppliers; [removed: |][added: and]

[removed: | • |] [added: -] intellectual property risks such as challenges to ownership of rights or alleged infringement by [removed: suppliers; and |][added: suppliers.]

[removed: | • |] [added: -] shortages of components, commodities or other materials, which could adversely affect our manufacturing efficiencies and ability to make timely delivery of our products, solutions and [removed: services. |][added: services;]

Our hardware and software products, solutions, and services are used by our direct and indirect customers in applications that may be subject to information theft, tampering, [added: sabotage,] or [removed: sabotage.][added: cyber-attacks.]

In addition, we rely on partners and vendors, including cloud providers, for a wide range of [added: products and] outsourced activities as part of our internal IT infrastructure and our commercial offerings.

We design our security architecture to reduce the risk that a compromise of our partners’ infrastructure, for example a cloud platform, could lead to a compromise of our internal systems or customer [removed: networks, but this risk cannot be eliminated and vulnerabilities at third parties could result in unknown risk exposure to our business.][added: networks.]

If we are not able to anticipate, identify, [removed: develop] [added: develop,] and market products that respond to changes in customer preferences and emerging technological and broader industry trends, demand for our products could decline.

Increasing employee benefit costs [added: and funding requirements] could have a negative effect on our operating results and financial condition.

Significant unfavorable changes in these factors would increase our [removed: expenses.][added: expenses and funding requirements.]

Expenses [added: and funding requirements] related to employer-funded healthcare benefits depend on laws and regulations, which could change, as well as healthcare cost inflation.

An inability to control costs [added: and funding requirements] related to employee and retiree benefits could negatively impact our operating results and financial condition.

[removed: | • |] [added: -] difficulties in integrating the purchased or new operations, technologies, products or services, retaining customers and achieving the expected benefits of the transaction, such as sales increases, access to technologies, cost savings and increases in geographic or product presence, in the desired time frames; [removed: |]

[removed: | • |] [added: -] loss of key employees or difficulties integrating personnel; [removed: |]

[removed: | • |] [added: -] legal and compliance issues; [removed: |]

[removed: | • |] [added: -] difficulties implementing and maintaining consistent standards, financial systems, internal and other controls, procedures, policies and information systems; [removed: |]

[removed: | • |] [added: -] difficulties maintaining relationships with our joint venture and other strategic partners (including as a result of such joint venture and other strategic partners having differing business objectives) and managing disputes with such joint venture and other strategic partners that may arise in connection with our relationships with them; and [removed: |]

[removed: | • |] [added: -] diversion of management’s attention from other business concerns. [removed: |]

Until [removed: July 19, 2021,] [added: September 2023,] we are subject to contractual restrictions on our ability to transfer the PTC Shares, subject to certain exceptions.

Legislative and regulatory action, including those related to corporate income [removed: taxes,] [added: taxes or climate change,] may be taken in the various countries and other jurisdictions where we operate that may affect our business activities in those countries and other jurisdictions or may otherwise increase our costs to do business.

The impact of the COVID-19 pandemic and responses to it has increased and could continue to increase the costs of making and distributing our hardware and software products, solutions and services or result in delays in delivering, or an inability to deliver, them to our customers.

Regulations for vaccines and COVID-19 testing have been announced and additional regulations may be announced in the jurisdictions in which our business operates.

These workforce disruptions and regulations have adversely affected and could continue to adversely affect our ability to efficiently operate, including to develop, manufacture, generate sales of, promote, market, and deliver our hardware and software products, solutions and services, and provide customer support.

Implementation of new regulations for vaccines may result in attrition of skilled labor and impact our ability to attract and retain talent necessary for our business operations.

For additional information, see the risk factor on attracting, developing, and retaining highly qualified personnel.

This has resulted in, and could continue to result in, a decrease in demand for our hardware and software products, solutions and services, as well as impact our customers’ ability to pay for such hardware and software products, solutions and services.

Risk Factors.

Volatility and disruption of the capital and credit markets may result in increased costs to maintain our capital structure.

Banks currently reporting information used to set U.S dollar LIBOR are currently expected to stop doing so during 2023.

Various parties, including government agencies, are seeking to identify an alternative rate to replace LIBOR.

MD&A*.*

In addition, our Third Party Risk Program manages risk posed by our suppliers that have access to our confidential information, systems, or network, but this risk cannot be eliminated and vulnerabilities at third parties could result in unknown risk exposure to our business and information.

In addition, increased public awareness and concern regarding climate change may result in more requirements or expectations that could mandate more restrictive or expansive standards, such as more prescriptive reporting of environmental, social, and governance metrics.

There continues to be a lack of consistent climate change legislation and standards, which creates uncertainty.

While the Company has adopted certain voluntary targets, environmental laws, regulations, or standards may be changed, accelerated, or adopted and impose significant operational restrictions and compliance requirements upon the Company, its products, or customers, which could negatively impact the Company’s business, capital expenditures, results of operations, and financial condition.

| | |

| --- | --- |

| • | Uncertainty over the duration and severity of the economic impact of the COVID-19 pandemic and effectiveness of efforts to manage it have caused significant volatility in the capital and other financial markets, which has adversely impacted, and could continue to adversely impact, global liquidity and asset values (including the price of our stock and the securities of other companies we own, such as the common stock we own in PTC Inc., and the fair value of our pension plans’ investments). This uncertainty and volatility could adversely affect our ability to, or the cost at which we may, access the capital and other financial markets, including the commercial paper market, or otherwise obtain debt or equity financing, which could adversely affect our financial condition or ability to satisfy our contractual obligations and fund our other business operations or future investment opportunities. |

[removed: | • |] [added: -] investments in manufacturing, including upgrades, modifications and expansions of existing facilities or production lines and new facilities or production lines; [removed: |]

[removed: | • |] [added: -] investments in basic materials production capacity, which may be related to commodity pricing levels; [removed: |]

[removed: | • |] [added: -] our customers’ needs for faster time to market, operational productivity, asset management and reliability, and enterprise risk management; [removed: |]

[removed: | • |] [added: -] our customers’ needs to continuously improve quality, safety and sustainability; [removed: |]

[removed: | • |] [added: -] industry factors that include our customers’ new product introductions, demand for our customers’ products or services and the regulatory and competitive environments in which our customers operate; [removed: |]

[removed: | • |] [added: -] levels of global industrial production and capacity utilization; [removed: |]

[removed: | • |] [added: -] regional factors that include local political, social, regulatory and economic circumstances; and [removed: |]

[removed: | • |] [added: -] the spending patterns of our customers due to their annual budgeting processes and their working schedules. [removed: |]

[removed: | • |] [added: -] achieve organic sales growth in excess of the automation market by expanding our served market and strengthening our competitive differentiation; [removed: |]

[removed: | • |] [added: -] grow market share of our core platforms; [removed: |]

[removed: | • |] [added: -] drive double digit growth in information solutions and connected services; [removed: |]

[removed: | • |] [added: -] acquire companies that serve as catalysts to organic growth by increasing our information solutions and high-value services offerings and capabilities, expanding our global presence, or enhancing our process expertise; [removed: |]

[removed: | • |] [added: -] enhance our market access by building our channel capability and partner network; [removed: |]

[removed: | • |] [added: -] deploy human and financial resources to strengthen our technology leadership and our intellectual capital business model; [removed: |]

[removed: | • |] [added: -] continuously improve quality and customer experience; and [removed: |]

[removed: | • |] [added: -] drive annual cost productivity. [removed: |]

By implementing the above strategy, we seek to achieve our long-term financial goals, including above-market organic sales growth, [added: increasing the portion of our total revenue that is recurring in nature,] EPS growth above sales growth, return on invested capital in excess of 20 percent and free cash flow equal to about 100 percent of Adjusted Income.

Approximately [removed: 65] [added: 66] percent of our employees and [removed: 46 percent] [added: less than half] of our [added: total] sales are outside the U.S. We continue to expand our footprint in emerging markets.

| Discrete | | [added: | | | |] Hybrid | | [added: | | | |] Process | [added: | |]

| Automotive | | [added: | | | |] Food & Beverage | | [added: | | | |] Oil & Gas | [added: | |]

| Semiconductor | | [added: | | | |] Life Sciences | | [removed: Mining, Aggregates & Cement] | [added: | | | Mining | | |]

| [removed: General Industries] [added: Warehousing & E-commerce] | | [added: | | | |] Household & Personal Care | | [added: | | | |] Metals | [added: | |]

| Printing & Publishing | | [added: | | | |] Eco Industrial | | [added: | | | |] Pulp & Paper | [added: | |]

| Marine | | [added: | | | |] Water / Wastewater | | [removed: Traditional Power] | [added: | | | Other Process | | |]

| [removed: Fiber/Textiles] [added: Airports] | | [added: | | | |] Renewable Energy | | | [added: | | | | | |]

| Aerospace | | | | | [added: | | | | | | | | | |]

| Other Discrete | | | | | [added: | | | | | | | | | |]

We help our customers meet their sustainability needs pertaining to energy efficiency, [removed: environmental] [added: environmental,] and safety goals.

In addition, environmental and safety [removed: objectives] [added: objectives, including those related to combating climate change,] often spur customers to invest to ensure compliance and implement sustainable business practices.

(ASEM), a [removed: leading] provider of digital automation technologies.

Avnet’s combination of service delivery, training, research, and managed services [removed: will enable] [added: enables] us to service a much larger set of customers globally while also continuing to accelerate our portfolio development in this market.

At September 30, [removed: 2020,] [added: 2021,] our employees, including those employed by consolidated subsidiaries, by region were approximately:

| North America | [added: | |] 9,500 | | [added: |]

| Europe, Middle East and Africa | [added: | |] 5,000 | | [added: |]

| Asia Pacific | [removed: 5,000] | | [added: 5,500 | | |]

| Latin America | [removed: 4,000] | | [added: 4,500 | | |]

| Total employees | [removed: 23,500] | | [added: 24,500 | | |]

[removed: At September 30, 2020, we] [added: Our employees] had the following global gender demographics:

| [added: September 2020] | [removed: September 30, 2020] | | [added: | | | 95.5 | | | | | | 55.4 | | |]

| | [added: | |] Women | [added: | |] Men | [added: | | | | | | | | | | | | | | | | |]

- drive double digit growth in annual recurring revenue;

| | | | | | | | | | | | | | | |

| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |

| General Industries | | | | | | Tire | | | | | | Chemicals | | |

| Glass | | | | | | Waste Management | | | | | | | | |

| Fiber & Textiles | | | | | | Mass Transit | | | | | | | | |

| | | | | | | | | | | | | | | |

As customers seek to be more sustainable, our offering of hardware and software products provide strategic opportunities to appeal to their changing needs and preferences.

In August 2021, we acquired Plex Systems (Plex), a cloud-native smart manufacturing platform.

Plex offers a single-instance, multi-tenant Software-as-a-Service manufacturing platform operating at scale, including advanced manufacturing execution systems, quality, and supply chain management capabilities.

In December 2020, we acquired Fiix Inc., a privately-held, artificial intelligence enabled computerized maintenance management system (CMMS) company based in Toronto, Ontario, Canada.

Fiix’s cloud-native CMMS creates workflows for the scheduling, organizing, and tracking of equipment maintenance; connects seamlessly to business systems; and drives data-driven decisions.

In October 2020, we acquired Oylo, a privately-held industrial cybersecurity services provider based in Barcelona, Spain.

Oylo is dedicated to providing a broad range of industrial control system cybersecurity services and solutions including assessments, turnkey implementations, managed services and incident response.

At Rockwell Automation, we promise to expand human possibility within our company and throughout the world of industrial production, and we work to attract and develop highly engaged people who can and want to do their best work.

Our commitment to diversity, equity and inclusion starts at the top.

Our 11 board members, 10 of whom are independent, include three female and two African American directors.

In fiscal year 2021, we hired our first chief diversity officer and made investments to accelerate our efforts to increase diversity, equity, and inclusion across the company.

A culture of integrity is fundamental to Rockwell’s core values, including a formal ethics and compliance organization and an Ombuds office that investigates ethical and legal concerns brought forth by employees.

In fiscal year 2020, we refreshed our code of conduct that along with our partner code of conduct and supplier code of conduct prohibits corrupt acts, bribery and anticompetitive behavior.

- We make the safety and health of our employees a top priority.

In fiscal year 2021, we achieved 0.27 recordable cases per 100 employees.

- We capture and act upon employee feedback through our annual employee engagement survey.

It measures several engagement indicators and drivers and provides an overall employee engagement index (EEI) with external benchmark comparison.

The latest survey, conducted in February 2021, showed an EEI of 74, which was equal to a global norm for this index.

Our global inclusion index score was 76, three points higher than the global benchmark of 73.

- We invest in growth and development of our employees.

As the pace of change increases, it is important we provide re-skilling and upskilling opportunities for our technical talent, along with soft skills and leadership development for all.

We offer a portfolio of all employee, managerial and leader training that spans on-demand self-paced and virtual live instructor-led formats.

Our programs focus on basic as well as transformational skills.

We take pride in our culture and in fiscal year 2021 created an opportunity for our employees to participate in team-based culture workshops.

In fiscal 2021, the majority of our employees completed one or more of our training programs representing over 100,000 learning hours.

- We offer employee assistance and work life benefits to all global employees.

Our comprehensive benefits include healthcare benefits, disability and life insurance benefits, paid time off, and leave programs.

Rockwell offers plans and resources to help employees meet future savings goals through defined benefit and retirement savings plans.

We offer flextime, remote work, and part-time arrangements whenever business conditions permit.

We monitor employee retention and attrition rates by demographic factors including by gender, ethnicity, generation, years of service, career role, region, business, and function.

We generally experienced higher attrition rates in fiscal year 2021 as compared to fiscal year 2020.

We believe the increase is consistent with market trends experienced broadly across labor markets in fiscal 2021.

We use attrition rate information to identify and address unfavorable trends to mitigate risk to our business.

| | |

| --- | --- |

| | | | | |

| --- | --- | --- | --- | --- |

| Warehousing & Logistics | | Tire | | Chemicals |

| Glass | | Mass Transit | | Other Process |

| Airports | | | | |

Successful execution of our strategy is dependent on attracting, developing and retaining key employees and members of our management team.

The skills, experience and industry knowledge of our employees significantly benefit our operations and performance.

We continuously evaluate, modify, and enhance our internal processes and technologies to increase employee engagement, productivity, and efficiency.

| | | |

| --- | --- | --- |

| All employees | 31% | 69% |

| Engineers | 14% | 86% |

| Manufacturing Associates | 48% | 52% |

| Individual Contributors | 37% | 63% |

| | | | | | |

| White | 77% | 78% | 64% | 80% | 81% |

| • | One way we capture employee feedback is through our biannual Employee Engagement Survey which measures several engagement indicators and provides an overall Employee Engagement Index (EEI). The latest survey, conducted in February 2020, showed an EEI of 76% compared to a global norm of 72% for this index. |

In the fourth quarter of fiscal 2020, PMI and the IP Index improved compared to the prior quarter; however, industrial output in the U.S. at the end of the fourth quarter was still below its pre-pandemic level.

Sequential growth is projected for the IP Index in the first quarter of fiscal 2021.

| | | | | | | |

| --- | --- | --- | --- | --- | --- | --- |

| September 2020 | | 101.8 | | | 55.4 | |

| September 2018 | | 109.3 | | | 59.5 | |

| June 2018 | | 107.9 | | | 60.0 | |

| March 2018 | | 106.7 | | | 59.3 | |

| December 2017 | | 106.1 | | | 59.3 | |

*Note: Economic indicators are subject to revisions by the issuing organizations.*

After a significant decline in the third quarter of fiscal 2020, industrial output outside the U.S. saw sequential growth in the fourth quarter of fiscal 2020.

Similar to the US, industrial output remains below pre-pandemic levels in most regions; however, sequential growth is projected for all regions in the first quarter of fiscal 2021.

While the duration and severity of those impacts are highly uncertain, they have had, and could continue to have, an adverse effect on our business, financial condition and results of operations.

Our company is an essential business to support critical infrastructure because our customers cannot build their products at scale without automation.

We have implemented safety and hygiene processes at our manufacturing and distribution locations to keep our employees safe, including separation of shifts and workstations, temperature monitoring, and other recommended practices.

We have also taken actions to help keep our non-manufacturing employees safe, including: directing employees to work from home, wherever possible, limiting and screening visitors to our facilities, implementing travel restrictions, canceling events that involve large groups of people, encouraging social distancing best practices, and enhancing cleaning in our facilities and major locations.

Some of the changes implemented have resulted in, and could continue to result in, operational inefficiencies.

Our solutions and services businesses include engineers and other employees who design and implement solutions through a combination of domain expertise and our technology.

Physical access to customer facilities is often important as we deliver those solutions.

As a result of COVID-19, access to customer facilities in some instances has been difficult.

This has led to some project delays, as well as inefficiencies due to lower labor utilization.

The fair value of our foreign currency forward exchange contracts is an asset of [removed: $14.0] [added: $14.1] million and a liability of [removed: $27.5] [added: $17.1] million at September 30, [removed: 2020.][added: 2021.]

[removed: In 2020 and 2019, the relative] [added: The] strengthening of the U.S. dollar against foreign currencies [removed: had] [added: has] an unfavorable impact on our sales and results of operations.

While future changes in foreign currency exchange rates are difficult to predict, our sales and profitability may be adversely affected if the U.S. dollar strengthens relative to [removed: 2020] [added: current] levels.

For such assets and liabilities without offsetting foreign currency forward exchange contracts, a 10 percent adverse change in the underlying foreign currency exchange rates would reduce our pre-tax income by approximately [removed: $10.1] [added: $2.2] million.

There was no impact on earnings due to ineffective hedges in [removed: 2020, 2019] [added: 2021, 2020] or [removed: 2018.][added: 2019.]

[removed: Our] [added: Also included in] short-term debt as of September 30, [removed: 2020, primarily consisted of] [added: 2021 and 2020 are] $23.5 million of interest-bearing loans from Schlumberger to Sensia [added: which were originally] due September 30, [added: 2020, and are now due December 31,] 2021.

[removed: The potential increase in fair value on such fixed-rate debt obligations from a] [added: A] hypothetical 50 basis point [removed: decrease] [added: increase] in [added: average] market interest rates [added: related to our short-term debt] would not be significant to our results of operations or financial condition.

There were no commercial paper borrowings outstanding as of September 30, [removed: 2020 and 2019.][added: 2020.]

We had outstanding fixed rate long-term [removed: and current portion of long-term] debt obligations with a carrying value of [removed: $1,974.7] [added: $3,464.6] million at September 30, [removed: 2020] [added: 2021] and [removed: $2,256.9] [added: $1,974.7] million at September 30, [removed: 2019.][added: 2020.]

The fair value of this debt was approximately [removed: $2,497.7] [added: $3,874.8] million at September 30, [removed: 2020] [added: 2021] and [removed: $2,680.9] [added: $2,497.7] million at September 30, [removed: 2019.][added: 2020.]

Our short-term debt as of September 30, 2021, includes $484.0 million of commercial paper borrowings with a weighted average interest rate of 0.18 percent and weighted average maturity period of 90 days.

Whenever an Item of this Annual Report on Form 10-K refers to information in our Proxy Statement for our Annual Meeting of Shareowners to be held on February [removed: 2, 2021,] [added: 1, 2022] (the Proxy Statement), or to information under specific captions in Item 7.

Management’s Discussion and Analysis of Financial Condition and Results of Operations [removed: (MD&A), or in Item 8.][added: (MD&A) for additional information on our business and long-term strategy.]

During fiscal [removed: 2020,] [added: 2020 and 2019,] we had two operating segments: Architecture & Software and Control Products & Solutions.

[removed: Both] [added: Our] operating segments share a common sales organization and supply chain and conduct business globally.

Major markets served by [removed: both] [added: all] segments consist of discrete end markets (e.g., Automotive, Semiconductor, and Warehousing & Logistics), hybrid end markets (e.g., Food & Beverage, and Life Sciences), and process end markets (e.g., Oil & Gas, Metals, and Chemicals).

The largest sales outside the United States on a country-of-destination basis are in China, Canada, Italy, Mexico, [removed: the United Kingdom,] Germany, and [removed: Australia.][added: the United Kingdom.]

Major competitors include Siemens AG, ABB Ltd, Schneider Electric SA, Emerson Electric Co., Mitsubishi Electric [removed: Corp. and] [added: Corp.,] Honeywell International [added: Inc., AVEVA Group plc, Dassault Systemes, and Aspen Technology,] Inc.

Approximately [removed: 80] [added: 75] percent of our global sales are through independent distributors.

Sales to our largest distributor in [added: 2021,] 2020, [removed: 2019] and [removed: 2018] [added: 2019] were approximately 10 percent of our total sales.

| | | [added: | | | |] September 30, | | | | | | | [added: | |]

We own or license numerous patents and patent applications related to our hardware and software products, [removed: solutions] [added: solutions,] and services.

The Company’s name and its registered trademark “Rockwell Automation®” and other trademarks such as “Allen-Bradley®”, “A-B®”, “PlantPAx® Process Automation System™”, and “The Connected Enterprise®” are important to [removed: both] [added: all] of our business segments.

In addition, we own other important trademarks that we use, such as “ControlLogix®” and “CompactLogix®” for our control systems, “PowerFlex®” for our AC drives, and “Rockwell [removed: Software®”] [added: Software®”, “FactoryTalk®”, “Plex Systems®”,] and [removed: “FactoryTalk®”] [added: “Fiix®”] for our software [added: and cloud] offerings.

MD&A, or in Item 8.

Segment information presented for those periods has been recast to reflect our new operating segments.

See Note 19 in the Consolidated Financial Statements for additional information on our operating segments.

See Item 7.

| | | | | | | | | | | | | | | |

| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |

| | | | | | | 2021 | | | | | | 2020 | | |

| Intelligent Devices | | | | | | $ | 1,052.8 | | | | | $ | 392.4 | |

| Software & Control | | | | | | 618.2 | | | | | | 156.3 | | |

| Lifecycle Services | | | | | | 1,239.5 | | | | | | 1,008.4 | | |

| | | | | | | $ | 2,910.5 | | | | | $ | 1,557.1 | |

See Note 2 in the Consolidated Financial Statements for additional information on the nature of our products and services and revenue recognition.

In other countries, we sell through a combination of our direct sales force and to a lesser extent, through independent distributors.

| | | | | | | | | |

| --- | --- | --- | --- | --- | --- | --- | --- | --- |

| | | 2020 | | | | 2019 | | |

| Architecture & Software | | $ | 283.2 | | | $ | 174.7 | |

| Control Products & Solutions | | 1,273.9 | | | | 1,194.7 | | |

| | | $ | 1,557.1 | | | $ | 1,369.4 | |

Backlog is not necessarily indicative of results of operations for future periods due to the short-cycle nature of most of our sales activities.

Backlog orders scheduled beyond 2021 were approximately $296 million as of September 30, 2020.

[removed: Form 10-K][added: Form 10-K]

| ☒ | [added: | |] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | [added: | |]

For the fiscal year [removed: ended September] [added: ended September] 30, [removed: 2020][added: 2021]

| ☐ | [added: | |] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | [added: | |]

Commission file [removed: number 1-12383][added: number 1-12383]

Rockwell Automation, [removed: Inc.][added: Inc.]

| Delaware | | | [added: | | | | | |] 25-1797617 | [added: | |]

| *(State or other jurisdiction of* | | | [added: | | | | | |] *(I.R.S. Employer* | [added: | |]

| *incorporation or organization)* | | | [added: | | | | | |] *Identification No.)* | [added: | |]

| 1201 South Second Street | [added: | |] Milwaukee | [added: | |] Wisconsin | [added: | |] 53204 | [added: | |]

| *(Address of principal executive offices)* | | | [added: | | | | | |] *(Zip Code)* | [added: | |]

+1 [removed: (414) 382-2000][added: (414) 382-2000]

| Title of each class | | [added: | | | |] Trading Symbol | | [added: | | | |] Name of each exchange on which registered | [added: | |]

| Common Stock ($1.00 par value) | | [added: | | | |] ROK | | [added: | | | |] New York Stock Exchange | [added: | |]

Securities registered pursuant to Section 12(g) of the [removed: Act: None][added: Act: None]

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, [added: a] smaller reporting company, or an emerging growth company.

See [added: the] definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

| | [added: | |] Large [removed: Accelerated Filer] [added: accelerated filer] | [added: | |] ☒ | | [added: | | | |] Accelerated [removed: Filer] [added: filer] | [added: | |] ☐ | | [added: | | | |]

| | [added: | |] Non-accelerated [removed: Filer] [added: filer] | [added: | |] ☐ | | [added: | | | |] Smaller [removed: Reporting Company] [added: reporting company] | [added: | |] ☐ | | [added: | | | |]

| | | | | [added: | | | | | | | |] Emerging [removed: Growth Company] [added: growth company] | [added: | |] ☐ | | [added: | | | |]

The aggregate market value of registrant’s voting stock held by non-affiliates of registrant on March [removed: 29, 2020] [added: 31, 2021] was approximately [removed: $17.4] [added: $30.8] billion.

[removed: 116,178,728] [added: 115,981,885] shares of registrant’s Common Stock, par value $1 per share, were outstanding on October 31, [removed: 2020.][added: 2021.]

Certain information contained in the Proxy Statement for the Annual Meeting of Shareowners of registrant to be held on February [removed: 2, 2021,] [added: 1, 2022,] is incorporated by reference into Part III hereof.

| [PART [removed: I](#s276DC526981B51E591A97BE43FD6D315)] [added: I](#iabcf598203fb40148eb7949185a42c73_10)] | | | | | | | | | [removed: [Page](#s6CBD7EF76F6257E982D862234115D888)] | [added: | | | | | | | | | | | | | | | | | [Page](#iabcf598203fb40148eb7949185a42c73_7) | | |]

| | [added: | |] [Item 1. [removed: Business](#s3B215079166357AB86ABBA1CC5A21533)] [added: Business](#iabcf598203fb40148eb7949185a42c73_13)] | | | | | | | | [removed: [2](#s3B215079166357AB86ABBA1CC5A21533)] | [added: | | | | | | | | | | | | | | | [3](#iabcf598203fb40148eb7949185a42c73_13) | | |]

| | [added: | |] [Item 1A. Risk [removed: Factors](#s473CD69F82C65CB9AD071635F9E6FA0D)] [added: Factors](#iabcf598203fb40148eb7949185a42c73_16)] | | | | | | | | [removed: [5](#s473CD69F82C65CB9AD071635F9E6FA0D)] | [added: | | | | | | | | | | | | | | | [6](#iabcf598203fb40148eb7949185a42c73_16) | | |]

| | [added: | |] [Item 1B. Unresolved Staff [removed: Comments](#s29DDCA6F80955B43A0B8A2B723DE0E4F)] [added: Comments](#iabcf598203fb40148eb7949185a42c73_19)] | | | | | | | | [removed: [12](#s29DDCA6F80955B43A0B8A2B723DE0E4F)] | [added: | | | | | | | | | | | | | | | [13](#iabcf598203fb40148eb7949185a42c73_19) | | |]

| | [added: | |] [Item 2. [removed: Properties](#s51E24C87755D589DB5D85E958374FD74)] [added: Properties](#iabcf598203fb40148eb7949185a42c73_22)] | | | | | | | | [removed: [12](#s51E24C87755D589DB5D85E958374FD74)] | [added: | | | | | | | | | | | | | | | [13](#iabcf598203fb40148eb7949185a42c73_22) | | |]

| | [added: | |] [Item 3. Legal [removed: Proceedings](#s03799D32218B5B649D0547E1FD76748B)] [added: Proceedings](#iabcf598203fb40148eb7949185a42c73_25)] | | | | | | | | [removed: [13](#s03799D32218B5B649D0547E1FD76748B)] | [added: | | | | | | | | | | | | | | | [13](#iabcf598203fb40148eb7949185a42c73_25) | | |]

| | [added: | |] [Item 4. Mine Safety [removed: Disclosures](#sE5A4A8FC7C405FA0B609DF33168BA356)] [added: Disclosures](#iabcf598203fb40148eb7949185a42c73_28)] | | | | | | | | [removed: [13](#sE5A4A8FC7C405FA0B609DF33168BA356)] | [added: | | | | | | | | | | | | | | | [14](#iabcf598203fb40148eb7949185a42c73_28) | | |]

| | [added: | |] [Item 4A. Information about our Executive [removed: Officers](#sE5A4A8FC7C405FA0B609DF33168BA356)] [added: Officers](#iabcf598203fb40148eb7949185a42c73_28)] | | | | | | | | [removed: [13](#sE5A4A8FC7C405FA0B609DF33168BA356)] | [added: | | | | | | | | | | | | | | | [14](#iabcf598203fb40148eb7949185a42c73_28) | | |]

| | [added: | |] [Item 5. Market [removed: for the Company’s Common] [added: for](#iabcf598203fb40148eb7949185a42c73_34) [Registrant](#iabcf598203fb40148eb7949185a42c73_34)[’](#iabcf598203fb40148eb7949185a42c73_34)[s](#iabcf598203fb40148eb7949185a42c73_34) [Common] Equity, Related Stockholder Matters and Issuer Purchases of Equity [removed: Securities](#s08ADEC0478EB59BCB3808546CADCA64F)] [added: Securities](#iabcf598203fb40148eb7949185a42c73_34)] | | | | | | | | [removed: [14](#s08ADEC0478EB59BCB3808546CADCA64F)] | [added: | | | | | | | | | | | | | | | [15](#iabcf598203fb40148eb7949185a42c73_34) | | |]

| | [added: | |] [Item 7. Management’s Discussion and Analysis of Financial Condition and Results of [removed: Operations](#s4ED1AEBBDC0E516B8888169E87F53440)] [added: Operations](#iabcf598203fb40148eb7949185a42c73_40)] | | | | | | | | [removed: [17](#s4ED1AEBBDC0E516B8888169E87F53440)] | [added: | | | | | | | | | | | | | | | [17](#iabcf598203fb40148eb7949185a42c73_40) | | |]

| | [added: | |] [Item 7A. Quantitative and Qualitative Disclosures About Market [removed: Risk](#s70E00216924F5827AF5491062A2CD757)] [added: Risk](#iabcf598203fb40148eb7949185a42c73_73)] | | | | | | | | [removed: [45](#s70E00216924F5827AF5491062A2CD757)] | [added: | | | | | | | | | | | | | | | [41](#iabcf598203fb40148eb7949185a42c73_73) | | |]

| | [added: | |] [Item 8. Financial Statements and Supplementary [removed: Data](#s9079633E5DA55E1CB6BACF7C99E3CA32)] [added: Data](#iabcf598203fb40148eb7949185a42c73_76)] | | | | | | | | [removed: [46](#s9079633E5DA55E1CB6BACF7C99E3CA32)] | [added: | | | | | | | | | | | | | | | [42](#iabcf598203fb40148eb7949185a42c73_76) | | |]

| | | [added: | | | |] [CONSOLIDATED BALANCE [removed: SHEET](#sE9E1268128C65B02911109135FC4598E)] [added: SHEET](#iabcf598203fb40148eb7949185a42c73_79)] | | | | | | | [removed: [46](#sE9E1268128C65B02911109135FC4598E)] | [added: | | | | | | | | | | | | | [42](#iabcf598203fb40148eb7949185a42c73_79) | | |]

| | | [added: | | | |] [CONSOLIDATED STATEMENT OF [removed: OPERATIONS](#s461D83E5AC08523D9D93B97D4F498D0E)] [added: OPERATIONS](#iabcf598203fb40148eb7949185a42c73_85)] | | | | | | | [removed: [47](#s461D83E5AC08523D9D93B97D4F498D0E)] | [added: | | | | | | | | | | | | | [43](#iabcf598203fb40148eb7949185a42c73_85) | | |]

| | | [added: | | | |] [CONSOLIDATED STATEMENT OF COMPREHENSIVE [removed: INCOME](#s7F2732EC949E5D3DB7430BF06E2645B8)] [added: INCOME](#iabcf598203fb40148eb7949185a42c73_88)] | | | | | | | [removed: [48](#s7F2732EC949E5D3DB7430BF06E2645B8)] | [added: | | | | | | | | | | | | | [44](#iabcf598203fb40148eb7949185a42c73_88) | | |]

| | | [added: | | | |] [CONSOLIDATED STATEMENT OF CASH [removed: FLOWS](#s821AE60A4B805FACABCE8AC787FDF1AB)] [added: FLOWS](#iabcf598203fb40148eb7949185a42c73_94)] | | | | | | | [removed: [49](#s821AE60A4B805FACABCE8AC787FDF1AB)] | [added: | | | | | | | | | | | | | [45](#iabcf598203fb40148eb7949185a42c73_94) | | |]

| | | [added: | | | |] [CONSOLIDATED STATEMENT OF SHAREOWNERS’ [removed: EQUITY](#s534DD57ACE1C5ECFB2212B14DC823D45)] [added: EQUITY](#iabcf598203fb40148eb7949185a42c73_97)] | | | | | | | [removed: [50](#s534DD57ACE1C5ECFB2212B14DC823D45)] | [added: | | | | | | | | | | | | | [46](#iabcf598203fb40148eb7949185a42c73_97) | | |]

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| [PART II](#iabcf598203fb40148eb7949185a42c73_31) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| | | | [Item 6. Reserved](#iabcf598203fb40148eb7949185a42c73_40) | | | | | | | | | | | | | | | | | | | | | | | | [17](#iabcf598203fb40148eb7949185a42c73_40) | | |

| [PART IV](#iabcf598203fb40148eb7949185a42c73_217) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| [SIGNATURES](#iabcf598203fb40148eb7949185a42c73_226) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

- the availability and cost of capital;

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| [PART II](#sC9C45A68737A5BD1860556A4DCEBED3A) | | | | | | | | | |

| | [Item 6. Selected Financial Data](#s7FDC4DBD214456409465B4487755DCB5) | | | | | | | | [16](#s7FDC4DBD214456409465B4487755DCB5) |

| [PART IV](#sA15763283BBE59CF966ED99D483BCB22) | | | | | | | | | |

| [SIGNATURES](#s70346F8258D159539AA3F4132CDC0B24) | | | | | | | | | |

Manufacturing space occupied approximately 2.8 million square [removed: feet, of which 38 percent was in North America.][added: feet.]

Most of our facilities are shared by operations [removed: in both] [added: of all] segments and may be used for multiple purposes such as administrative, manufacturing, warehousing and / or distribution.

The following table sets forth information regarding our headquarter locations as of September 30, [removed: 2020:][added: 2021:]

| Location | | [added: | | | |] Segment/Region | | [added: |]

| Milwaukee, Wisconsin, United States | | [added: | | | |] Global and North America [removed: Headquarters] [added: Headquarters, Intelligent Devices,] and [removed: Control Products & Solutions] [added: Lifecycle Services] | | [added: |]

| Mayfield Heights, Ohio, United States | | [removed: Architecture &] [added: | | | |] Software [added: & Control] | | [added: |]

| Capelle, Netherlands / Diegem, Belgium | | [added: | | | |] Europe, Middle East and Africa | | [added: |]

| Hong Kong | | [added: | | | |] Asia Pacific | | [added: |]

| Weston, Florida, United States | | [added: | | | |] Latin America | | [added: |]

| The following table sets forth information regarding the manufacturing square footage of our principal locations as of September 30, [removed: 2020:] [added: 2021:] | | | | [added: | | | | |]

| Location | | [added: | | | |] Manufacturing Square Footage | | [added: |]

| Monterrey, Mexico | | [added: | | | |] 607,000 | | [added: |]

| Katowice, Poland | | [added: | | | |] 238,000 | | [added: |]

| Mequon, Wisconsin, United States | | [added: | | | |] 230,000 | | [added: |]

| Tecate, Mexico | | [added: | | | |] 225,000 | | [added: |]

| Twinsburg, Ohio, United States | | [added: | | | |] 200,000 | | [added: |]

| Richland Center, Wisconsin, United States | | [added: | | | |] 189,000 | | [added: |]

| Cambridge, Canada | | [added: | | | |] 165,000 | | [added: |]

| Ladysmith, Wisconsin, United States | | [added: | | | |] 150,000 | | [added: |]

| Harbin, China | | [removed: 138,000] | | [added: | | 118,000 | | |]

| Shanghai, China | | [added: | | | |] 106,000 | | [added: |]

| Jundiai, Brazil | | [added: | | | |] 95,000 | | [added: |]

| Singapore | | [removed: 74,000] | | [added: | | 79,000 | | |]

In our opinion, our properties have been well maintained, are in sound operating [removed: condition] [added: condition,] and contain all equipment and facilities necessary to operate at present levels.

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| Aarau, Switzerland | | 140,000 | |

The name, age, office and position held with the Company and principal occupations and employment during the past five years of each of the executive officers of the Company as of November [removed: 5, 2020] [added: 1, 2021] are:

| Name, Office and Position, and Principal Occupations and Employment | [added: | |] Age | | [added: |]

| Blake D. Moret — Chairman of the Board since January 1, 2018, and President and Chief Executive Officer since July 1, [removed: 2016; previously Senior Vice President] [added: 2016] | [removed: 57] | | [added: 58 | | |]

| Sujeet Chand *—* Senior Vice [added: President, Technology since July 1, 2021; previously Senior Vice] President and Chief Technology Officer | [removed: 62] | | [added: 63 | | |]

| Elik I. Fooks — Senior Vice [removed: President] [added: President, Corporate Development] since March 16, 2017; previously Vice President and General Manager, Sensing, Safety, and Connectivity Business | [removed: 69] | | [added: 70 | | |]

| Rebecca W. House — Senior Vice President, Chief [removed: Administrative] [added: People] (since July 2020) and Legal Officer and Secretary since January 3, 2017; previously Assistant General Counsel, Operations and Compliance, and Assistant Secretary at Harley-Davidson, Inc. (motorcycle manufacturer) | [removed: 47] | | [added: 48 | | |]

| Frank C. Kulaszewicz *—* Senior Vice President [added: Lifecycle Services since October 1, 2020; previously Senior Vice President] | [removed: 56] | | [added: 57 | | |]

| John M. Miller — Vice President and Chief Intellectual Property Counsel | [removed: 53] | | [added: 54 | | |]

| [removed: Robert B. Murphy] [added: Ernest Nicolas, Jr.] — Senior Vice President, [removed: Change Management] [added: Chief Supply Chain Officer] since November 4, 2020; previously Senior Vice President, [removed: Connected Enterprise Consulting (from July 2018 to November 2020), Senior Vice President] Operations and Engineering Services (from [removed: May 2016] [added: November 2019] to [added: November 2020), Vice President, Global Supply Chain (from] July [removed: 2018)] [added: 2018 to November 2019),] and Vice President, [removed: Manufacturing Operations] [added: Strategic Sourcing and Supply Management] | [removed: 61] | | [added: 44 | | |]

| Christopher Nardecchia — Senior Vice President and Chief Information Officer since November 1, 2017; previously Vice President and Chief Information Officer, Global Operations and Supply Chain, Amgen, Inc. (biopharmaceutical company) | [removed: 58] | | [added: 59 | | |]

| Terry L. Riesterer — Vice President and Controller since November 29, 2019; previously Vice President, Corporate Financial Planning and Analysis and Corporate Development (from August 2016 - November 2019) and Vice President, Global Finance Operations | [removed: 52] | | [added: 53 | | |]

| Isaac Woods — Vice President and Treasurer since October 1, 2020; previously Director, Finance, Power Control Business (from March 2019 - October 2020), Director, Capital Markets (from January 2017 to March 2019), and Manager, Corporate Finance and Investor Relations | [removed: 35] | | [added: 36 | | |]

| Francis S. Wlodarczyk — Senior Vice President [added: Intelligent Devices] since [added: October 1, 2020; previously Senior Vice President (since] July 2, [removed: 2018; previously] [added: 2018) and] Vice President, Control and Visualization Business | [removed: 55] | | [added: 56 | | |]

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| Nicholas C. Gangestad — Senior Vice President and Chief Financial Officer since March 1, 2021; previously Senior Vice President and Chief Financial Officer, 3M Company (consumer goods, health care and worker safety) | | | 57 | | |

| Scott Genereux \- Senior Vice President and Chief Revenue Officer since February 1, 2021; previously Executive Vice President of Worldwide Field Operations at Veritas (provider of information management services) (2017 to 2020), and Senior Vice President at Oracle (cloud applications and platform services) | | | 58 | | |

| Veena M. Lakkundi – Senior Vice President, Strategy and Corporate Development since November 1, 2021; previously Senior Vice President, Strategy & Business Development (2020-2021), Vice President and General Manager, Industrial Adhesives and Tapes Division (2019-2020), Vice President and Chief Ethics & Compliance Officer, Compliance and Business Conduct, Legal Affairs (2017-2019) at 3M Company (consumer goods, health care and worker safety) | | | 52 | | |

| Cyril Perducat – Senior Vice President (since June 1, 2021) and Chief Technology Officer since July 1, 2021; previously Executive Vice President, Schneider Electric (energy and automation digital solutions) | | | 52 | | |

| Brian A. Shepherd - Senior Vice President Software and Control since February 1, 2021; previously President, Production Software SFx (2019-2020) and Senior Vice President, Software Solutions (2017-2019) at Hexagon Manufacturing Intelligence (metrology and manufacturing solution specialist), and Executive Vice President, PTC Inc. (digital technology) | | | 56 | | |

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| Thomas Donato — Senior Vice President since January 1, 2019; previously President, Europe, Middle East and Africa (from 2015-2018) and Vice President, Canada | 48 | |

| Steven W. Etzel — Vice President, Finance since October 1, 2020; previously Vice President and Treasurer | 60 | |

| John A. Genovesi — Senior Vice President since January 1, 2019; previously Vice President and General Manager, Information Software Business | 57 | |

| Patrick P. Goris — Senior Vice President and Chief Financial Officer since February 7, 2017; previously Vice President, Finance, Architecture and Software, and Investor Relations | 49 | |

| Ernest Nicolas, Jr. — Senior Vice President, Chief Supply Chain Officer since November 4, 2020; previously Senior Vice President, Operations and Engineering Services (from November 2019 to November 2020), Vice President, Global Supply Chain (from July 2018 to November 2019), and Vice President, Strategic Sourcing and Supply Management | 43 | |

Our common stock, $1 par value, is listed on the New York Stock Exchange and trades under the symbol [removed: “ROK”, On October 31, 2020, there were 14,633 shareowners of record of our common stock.][added: “ROK”.]

[removed: There were no] [added: The table below sets forth information with respect to] purchases made by or on behalf of us of shares of our common stock during the three months ended September 30, [removed: 2020.][added: 2021:]

[removed: On] [added: (3)On] July 24, 2019, the Board of Directors authorized us to expend [added: an additional] $1.0 billion to repurchase shares of our common stock.

The following line graph compares the cumulative total shareowner return on our [removed: Common Stock] [added: common stock] against the cumulative total return of the S&P Composite-500 Stock Index (S&P 500 Index) and the S&P Electrical Components & Equipment Index for the period of five fiscal years from October 1, [removed: 2015] [added: 2016,] to September 30, [removed: 2020,] [added: 2021,] assuming in each case a fixed investment of $100 at the respective closing prices on September 30, [removed: 2015] [added: 2016,] and reinvestment of all dividends.

[removed: ][added: ]

The cumulative total returns on Rockwell Automation [removed: Common Stock] [added: common stock] and each index as of [removed: each] September 30, [removed: 2015] [added: 2016] through [removed: 2020] [added: 2021] plotted in the above graph are as follows:

| | [removed: 2015] | | [added: 2016] | | [removed: 2016] | | | | 2017 | | | | [added: | |] 2018 | | | | [added: | |] 2019 | | | | [added: | |] 2020 | | | [added: | | | 2021 | | |]

| Cash dividends per common share | [removed: 2.60] | | [added: 2.90] | | [removed: 2.90] | | | | 3.04 | | | | [added: | |] 3.51 | | | | [added: | |] 3.88 | | | | [added: | |] 4.08 | | | [added: | | | 4.28 | | |]

On October 31, 2021, there were 13,207 shareowners of record of our common stock.

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| Period | | | | | | Total Number of Shares Purchased(1) | | | | | | Average Price Paid Per Share(2) | | | | | | Total Number of Shares Purchased as Part of Publicly Announced Plans or Programs | | | | | | Maximum Approx. Dollar Value of Shares that May Yet Be Purchased Under the Plans or Programs(3) | | |

| July 1 – 31, 2021 | | | | | | 76,727 | | | | | | $ | 293.14 | | | | | 76,727 | | | | | | $ | 591,003,972 | |

| August 1 – 31, 2021 | | | | | | 62,574 | | | | | | 316.31 | | | | | | 62,574 | | | | | | 571,211,496 | | |

| September 1 – 30, 2021 | | | | | | 60,788 | | | | | | 310.74 | | | | | | 60,788 | | | | | | 552,321,985 | | |

| Total | | | | | | 200,089 | | | | | | 305.73 | | | | | | 200,089 | | | | | | | | |

(1)All of the shares purchased during the quarter ended September 30, 2021, were acquired pursuant to the repurchase program described in (3) below.

(2)Average price paid per share includes brokerage commissions.

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| Rockwell Automation* | | | $ | 100.00 | | | | | $ | 148.54 | | | | | $ | 159.26 | | | | | $ | 143.26 | | | | | $ | 195.79 | | | | | $ | 264.96 | |

| S&P 500 Index | | | 100.00 | | | | | | 118.61 | | | | | | 139.85 | | | | | | 145.80 | | | | | | 167.89 | | | | | | 218.26 | | |

| S&P Electrical Components & Equipment | | | 100.00 | | | | | | 120.13 | | | | | | 139.16 | | | | | | 134.49 | | | | | | 156.25 | | | | | | 226.35 | | |

The maximum dollar value of shares that may yet be purchased under the program is $853,688,376.

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| Rockwell Automation* | $ | 100.00 | | | $ | 123.79 | | | $ | 183.88 | | | $ | 197.18 | | | $ | 177.41 | | | $ | 242.46 | |

| S&P 500 Index | 100.00 | | | | 115.43 | | | | 136.91 | | | | 161.43 | | | | 168.30 | | | | 193.80 | | |

| S&P Electrical Components & Equipment | 100.00 | | | | 123.69 | | | | 148.59 | | | | 172.13 | | | | 166.36 | | | | 193.26 | | |

Not required.

The following table sets forth selected consolidated financial data of our continuing operations.

The data should be read in conjunction with MD&A and the Consolidated Financial Statements.

The selected financial data below has been derived from our audited consolidated financial statements.

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| | | Year Ended September 30, | | | | | | | | | | | | | | | | | | |

| | | 2020 | | | | 2019 | | | | 2018 | | | | 2017 | | | | 2016 | | |

| | | (in millions, except per share data) | | | | | | | | | | | | | | | | | | |

| Consolidated Statement of Operations Data: | | | | | | | | | | | | | | | | | | | | |

| Sales | | $ | 6,329.8 | | | $ | 6,694.8 | | | $ | 6,666.0 | | | $ | 6,311.3 | | | $ | 5,879.5 | |

| Interest expense | | 103.5 | | | | 98.2 | | | | 73.0 | | | | 76.2 | | | | 71.3 | | |

| Net income attributable to Rockwell Automation, Inc.(1) | | 1,023.4 | | | | 695.8 | | | | 535.5 | | | | 825.7 | | | | 729.7 | | |

| Earnings per share: | | | | | | | | | | | | | | | | | | | | |

| Basic | | 8.83 | | | | 5.88 | | | | 4.27 | | | | 6.42 | | | | 5.60 | | |

| Diluted | | 8.77 | | | | 5.83 | | | | 4.21 | | | | 6.35 | | | | 5.56 | | |

| Cash dividends per share | | 4.08 | | | | 3.88 | | | | 3.51 | | | | 3.04 | | | | 2.90 | | |

| Consolidated Balance Sheet Data: (at end of period) | | | | | | | | | | | | | | | | | | | | |

| Total assets | | $ | 7,264.7 | | | $ | 6,113.0 | | | $ | 6,262.0 | | | $ | 7,161.7 | | | $ | 7,101.2 | |

| Short-term debt and current portion of long-term debt | | 24.6 | | | | 300.5 | | | | 551.0 | | | | 600.4 | | | | 448.6 | | |

| Long-term debt | | 1,974.7 | | | | 1,956.4 | | | | 1,225.2 | | | | 1,243.4 | | | | 1,516.3 | | |

| Total shareowners’ equity | | 1,346.8 | | | | 404.2 | | | | 1,617.5 | | | | 2,663.6 | | | | 1,990.1 | | |

| Other Data: | | | | | | | | | | | | | | | | | | | | |

| Capital expenditures | | $ | 113.9 | | | $ | 132.8 | | | $ | 125.5 | | | $ | 141.7 | | | $ | 116.9 | |

| Depreciation | | 122.5 | | | | 126.2 | | | | 136.4 | | | | 138.7 | | | | 143.3 | | |

| Intangible asset amortization | | 50.2 | | | | 26.0 | | | | 28.2 | | | | 30.2 | | | | 28.9 | | |

| | |

| --- | --- |

| (1) | During the fourth quarter of fiscal 2017, we sold a product distribution business within our Control Products & Solutions segment. This business held no intellectual property and included products sold outside of our core channel and under different brands. We sold this business for approximately $94 million and recorded a pre-tax gain of $60.8 million, which is included within Other (expense) income in the Consolidated Statement of Operations. During fiscal 2018, we recorded charges of $538.3 million associated with the enactment of the Tax Cuts and Jobs Act of 2017 (the “Tax Act”). We recorded a gain of $90 million, a loss of $368.5 million, and a gain of $153.9 million due to the change in fair value of our investment in PTC during fiscal 2018, 2019, and 2020, respectively. Refer to Note 10 in the Consolidated Financial Statements for further information regarding our investment in PTC. |

| | [added: | |] September 30, | | | | | | | [added: | |]

| | [added: | | 2021 | | | | | |] 2020 | | | | [added: | |] 2019 | | |

| ASSETS | | | | | | | | [added: | | | |]

| Current assets: | | | | | | | | [added: | | | |]

| Cash and cash equivalents | [removed: $] | [added: | 662.2 | | | | | |] 704.6 | | | [removed: $] | [added: | |] 1,018.4 | | [added: |]

| Receivables | [removed: 1,249.1] | | [added: 1,424.5] | | [removed: 1,178.7] | | | [added: | 1,249.1 | | |]

| Inventories | [removed: 584.0] | | [added: 798.1] | | [removed: 575.7] | | | [added: | 584.0 | | |]

| Other current assets | [removed: 148.1] | | [added: 178.6] | | [removed: 212.9] | | | [added: | 148.1 | | |]

| Total current assets | [removed: 2,685.8] | | [added: 3,063.4] | | [removed: 2,985.7] | | | [added: | 2,685.8 | | |]

| Property, net of accumulated depreciation | [removed: 574.4] | | [added: 581.9] | | [removed: 571.9] | | | [added: | 574.4 | | |]

| Operating lease right-of-use assets | [removed: 342.9] | | [added: 377.7] | | [removed: —] | | | [added: | 342.9 | | |]

| Goodwill | [removed: 1,650.3] | | [added: 3,625.9] | | [removed: 1,071.1] | | | [added: | 1,650.3 | | |]

| Other intangible assets, net | [removed: 479.3] | | [added: 1,021.8] | | [removed: 194.1] | | | [added: | 479.3 | | |]

| Deferred income taxes | [removed: 415.6] | | [added: 380.9] | | [removed: 364.1] | | | [added: | 415.6 | | |]

| Long-term investments | [removed: 953.5] | | [added: 1,363.5] | | [removed: 793.9] | | | [added: | 953.5 | | |]

| Other assets | [removed: 162.9] | | [added: 286.5] | | [removed: 132.2] | | | [added: | 162.9 | | |]

| Total | [added: | | | | |] $ | [added: 10,701.6 | | | | | $ |] 7,264.7 | | | [added: | |] $ | 6,113.0 | |

| LIABILITIES AND SHAREOWNERS’ EQUITY | | | | | | | | [added: | | | |]

| Current liabilities: | | | | | | | | [added: | | | |]

| Short-term debt | [added: | |] $ | [removed: 24.6] [added: 509.7] | | | [added: | |] $ | [removed: —] [added: 24.6] | |

| Accounts payable | [removed: 687.8] | | [added: 889.8] | | [removed: 694.6] | | | [added: | 687.8 | | |]

| Compensation and benefits | [removed: 197.0] | | [added: 408.0] | | [removed: 239.0] | | | [added: | 197.0 | | |]

| Contract liabilities | [removed: 325.3] | | [added: 462.5] | | [removed: 275.6] | | | [added: | 325.3 | | |]

| Customer returns, rebates and incentives | [removed: 199.6] | | [added: 237.8] | | [removed: 199.2] | | | [added: | 199.6 | | |]

| Other current liabilities | [removed: 376.5] | | [added: 484.4] | | [removed: 227.9] | | | [added: | 376.5 | | |]

| Total current liabilities | [removed: 1,810.8] | | [added: 2,992.2] | | [removed: 1,936.8] | | | [added: | 1,810.8 | | |]

| Long-term debt | [removed: 1,974.7] | | [added: 3,464.6] | | [removed: 1,956.4] | | | [added: | 1,974.7 | | |]

| Retirement benefits | [removed: 1,284.0] | | [added: 720.6] | | [removed: 1,231.9] | | | [added: | 1,284.0 | | |]

| Operating lease liabilities | [removed: 274.7] | | [added: 313.6] | | [removed: —] | | | [added: | 274.7 | | |]

| Other liabilities | [removed: 573.7] | | [added: 516.5] | | [removed: 583.7] | | | [added: | 573.7 | | |]

| Commitments and contingent liabilities (Note 17) | | | | | | | | [added: | | | |]

| Shareowners’ equity: | | | | | | | | [added: | | | |]

| Common stock ($1.00 par value, shares issued: 181.4) | [added: | |] 181.4 | | | | [added: | |] 181.4 | | |

| Additional paid-in capital | [removed: 1,830.7] | | [added: 1,933.6] | | [removed: 1,709.1] | | | [added: | 1,830.7 | | |]

| Retained earnings | [removed: 7,139.8] | | [added: 8,000.4] | | [removed: 6,440.2] | | | [added: | 7,139.8 | | |]

| Accumulated other comprehensive loss | [removed: (1,614.2] | | [removed: )] [added: (1,017.1)] | | [removed: (1,488.0] | | [removed: )] | [added: | (1,614.2) | | |]

| Common stock in treasury, at cost (shares held: [added: 2021, 65.4;] 2020, [removed: 65.2; 2019, 65.7)] [added: 65.2)] | [removed: (6,509.9] | | [removed: )] [added: (6,708.7)] | | [removed: (6,438.5] | | [removed: )] | [added: | (6,509.9) | | |]

| Shareowners’ equity attributable to Rockwell Automation, Inc. | [removed: 1,027.8] | | [added: 2,389.6] | | [removed: 404.2] | | | [added: | 1,027.8 | | |]

| Noncontrolling interests | [removed: 319.0] | | [added: 304.5] | | [removed: —] | | | [added: | 319.0 | | |]

| Total shareowners’ equity | [removed: 1,346.8] | | [added: 2,694.1] | | [removed: 404.2] | | | [added: | 1,346.8 | | |]

| Total | | | $ | 10,701.6 | | | | | $ | 7,264.7 | |

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| | | | Year Ended September 30, | | | | | | | | | | | | | | |

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| | | | Year Ended September 30, | | | | | | | | | | | | | | |

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| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |

| Net income | | | — | | | | | | — | | | | | | 1,358.1 | | | | | | — | | | | | | — | | | | | | 1,358.1 | | | | | | (13.8) | | | | | | 1,344.3 | | |

| Other comprehensive income (loss) | | | — | | | | | | — | | | | | | — | | | | | | 597.1 | | | | | | — | | | | | | 597.1 | | | | | | (0.7) | | | | | | 596.4 | | |

| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| Change in noncontrolling interest | | | — | | | | | | (0.6) | | | | | | — | | | | | | — | | | | | | — | | | | | | (0.6) | | | | | | — | | | | | | (0.6) | | |

| Balance at September 30, 2021 | | | $ | 181.4 | | | | | $ | 1,933.6 | | | | | $ | 8,000.4 | | | | | $ | (1,017.1) | | | | | $ | (6,708.7) | | | | | $ | 2,389.6 | | | | | $ | 304.5 | | | | | $ | 2,694.1 | |

The changes to our allowance for doubtful accounts during the years ended September 30, 2021 and 2020, were not material and primarily consisted of current-period provisions, write-offs charged against the allowance, recoveries collected, and foreign currency translation.

Equipment under finance leases are stated at the present value of minimum lease payments.

Implementation costs incurred in a cloud computing arrangement that is a service contract are recorded in Other current assets and Other assets on the Consolidated Balance Sheet and are amortized over the expected service period.

Our reporting units for goodwill evaluation consist of the Intelligent Devices segment, the Software & Control segment, the Lifecycle Services segment (excluding Sensia), and Sensia.

Actual results and forecasts of revenue growth and margins for our Sensia reporting unit may be impacted by its concentration within the Oil & Gas industry and with its customer base.

Demand for Sensia hardware and software products, solutions, and services is sensitive to industry volatility and risks, including those related to commodity prices, supply and demand dynamics, production costs, geological activity, and political activities.

We also determine fair value assessments in conjunction with intangible valuations of acquisitions and our annual impairment testing of goodwill and indefinite lived intangible assets.

The valuation methodologies for these assets are described in Notes 3 and 4.

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We have finance leases primarily for equipment.

Amortization expense of the ROU asset for finance leases is recognized on a straight-line basis over the lease term and interest expense for finance leases is recognized based on the incremental borrowing rate.

Long-term finance lease liabilities are presented as Long-term debt and current finance lease liabilities are included in Other current liabilities in the Consolidated Balance Sheet.

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| Current portion of long-term debt | — | | | | 300.5 | | |

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| Balance at September 30, 2017 | $ | 181.4 | | | $ | 1,638.0 | | | $ | 6,103.4 | | | $ | (1,179.2 | ) | | $ | (4,080.0 | ) | | $ | 2,663.6 | | | $ | — | | | $ | 2,663.6 | |

We connect the imaginations of people with the potential of technology to expand what is humanly possible, making the world more productive and more sustainable.

On October 1, 2018, we adopted the new standard on revenue from contracts with customers using the modified retrospective method applied to contracts that were not completed as of October 1, 2018.

Results for reporting periods beginning after October 1, 2018 are presented under the new standard, while prior period amounts have not been adjusted and continue to be reported in accordance with the previous standard.

Our policy under the previous standard was as follows:

We recognize revenue when it is realized or realizable and earned.

Product and solution sales consist of industrial automation and information solutions; hardware and software products; and custom-engineered systems.

Service sales include multi-vendor customer technical support and repair, asset management and optimization consulting and training.

All service sales recorded in the Consolidated Statement of Operations are associated with our Control Products & Solutions segment.

For approximately 85 percent of our consolidated sales, we record sales when all of the following have occurred: persuasive evidence of a sales agreement exists; pricing is fixed or determinable; collection is reasonably assured; and hardware and software products have been delivered and acceptance has occurred, as may be required according to contract terms, or services have been rendered.

Within this category, we will at times enter into arrangements that involve the delivery of multiple hardware and software products and/or the performance of services, such as installation and commissioning.

The timing of delivery, though varied based upon the nature of the undelivered component or service, is generally short-term in nature.

For these arrangements, revenue is allocated to each deliverable based on that element’s relative selling price, provided the delivered element has value to customers on a standalone basis and, if the arrangement includes a general right of return, delivery or performance of the undelivered items is probable and substantially in our control.

Relative selling price is obtained from sources such as vendor-specific objective evidence, which is based on our separate selling price for that or a similar item, or from third-party evidence such as how competitors have priced similar items.

If such evidence is not available, we use our best estimate of the selling price, which includes various internal factors such as our pricing strategy and market factors.

We recognize substantially all of the remainder of our sales as construction-type contracts using either the percentage-of-completion or completed contract methods of accounting.

We record sales relating to these contracts using the percentage-of-completion method when we determine that progress toward completion is reasonably and reliably estimable; we use the completed contract

method for all others.

Under the percentage-of-completion method, we recognize sales and gross profit as work is performed using the relationship between actual costs incurred and total estimated costs at completion.

Under the percentage-of-completion method, we adjust sales and gross profit for revisions of estimated total contract costs or revenue in the period the change is identified.

We record estimated losses on contracts when they are identified.

We use contracts and customer purchase orders to determine the existence of a sales agreement.

We use shipping documents and customer acceptance, when applicable, to verify delivery.

We assess whether the fee is fixed or determinable based on the payment terms associated with the transaction and whether the sales price is subject to refund or adjustment.

We assess collectibility based on the creditworthiness of the customer as determined by credit evaluations and analysis, as well as the customer’s payment history.

Shipping and handling costs billed to customers are included in sales and the related costs are included in cost of sales in the Consolidated Statement of Operations.

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*Adoption*

In other countries, we sell through a combination of our direct sales force, and to a lesser extent, through independent distributors.

The following series of tables present our revenue disaggregation by geographic region and types of products or services, and also present these disaggregation categories for our two operating segments.

Under the supervision and with the participation of our management, including the Chief Executive Officer and Chief Financial Officer, we have evaluated the effectiveness, as of September 30, [removed: 2020,] [added: 2021,] of our disclosure controls and procedures, as defined in Rule 13a-15(e) and Rule 15d-15(e) under the Exchange Act.

Based on that evaluation, our Chief Executive Officer and Chief Financial Officer have concluded that our disclosure controls and procedures were effective as of September 30, [removed: 2020.][added: 2021.]

Based on that evaluation, management has concluded that our internal control over financial reporting was effective as of September 30, [removed: 2020.][added: 2021.]

The effectiveness of our internal control over financial reporting, as of September 30, [removed: 2020,] [added: 2021,] has been audited by Deloitte & Touche LLP, as stated in their report that is included on the previous page.

On August 31, 2021, we acquired Plex (see Note 4 in the Consolidated Financial Statements for additional information).

Due to the timing of the acquisition and as permitted by the Securities and Exchange Commission, we have excluded internal controls at Plex from our assessment of the internal control over financial reporting as of September 30, 2021.

Total assets and revenues of Plex that were excluded from our assessment constitute 19.0 percent and 0.1 percent, respectively, of our Consolidated Financial Statement amounts as of and for the year ended September 30, 2021.

We are in the process of integrating the acquired business into our existing operations and evaluating the internal controls over financial reporting of the acquired business.

In the fourth quarter of fiscal 2021, we acquired Plex as described above.

We are in the process of integrating controls, policies, and procedures relating to this transaction and will continue to evaluate the impact of any related changes to our internal control over financial reporting.

The following table provides information, as of September 30, [removed: 2020,] [added: 2021,] about our common stock that may be issued upon the exercise of options, [removed: warrants] [added: warrants,] and rights granted to employees, [removed: consultants] [added: consultants,] or directors under all of our existing equity compensation plans.

| | | [added: | | | |] Number of Securities to be issued upon Exercise of Outstanding Options, Warrants and Rights | | | [added: | | |] Weighted Average Exercise Price of Outstanding Options, Warrants and Rights | | | | [added: | |] Number of Securities Remaining Available for Future Issuance under Equity Compensation Plans (excluding Securities reflected in Column (a)) | | | [added: | | |]

| Plan Category | | [added: | | | |] (a) | | | [added: | | |] (b) | | | | [added: | |] (c) | | | [added: | | |]

| Equity compensation plans [added: not] approved by shareowners | | [removed: 3,711,531] | | [removed: (1)] | [removed: $] | [removed: 164.81] [added: —] | | [removed: (2)] | [removed: 12,930,531] | | [removed: (3)] | [added: n/a | | | | | | — | | | | | |]

| Equity compensation plans [removed: not] approved by shareowners | | [removed: —] | | | [removed: n/a] | [added: 3,025,987] | | | [removed: —] [added: (1)] | | | [added: $ | 173.07 | | (2) | | | 11,438,006 | | | (3) | | |]

[removed: | (1) | Represents] [added: (1)Represents] outstanding options, shares issuable in payment of outstanding performance shares (at maximum [removed: payout)] [added: payout),] and restricted stock units under our 2020 Long-Term Incentives Plan, 2012 Long-Term Incentives Plan, 2008 Long-Term Incentives Plan, and 2003 Directors Stock Plan. [removed: |]

[removed: | (2) | Represents] [added: (2)Represents] the weighted average exercise price of outstanding options and does not take into account the performance shares and restricted stock units. [removed: |]

[removed: | (3) | Represents] [added: (3)Represents] shares available for future issuance under our 2020 Long-Term Incentives Plan. [removed: |]

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| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |

| Total | | | | | | 3,025,987 | | | | | | $ | 173.07 | | | | | 11,438,006 | | | | | |

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| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |

| Total | | 3,711,531 | | | $ | 164.81 | | | 12,930,531 | | |

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[removed: | (1) | Financial] [added: (1)Financial] Statements (all financial statements listed below are those of the Company and its consolidated subsidiaries) [removed: |]

| | [added: | |] Page | [added: | |]

| Consolidated Balance Sheet, September 30, [removed: 2020] [added: 2021] and [removed: 2019] [added: 2020] | [removed: [46](#sE9E1268128C65B02911109135FC4598E)] | [added: | [42](#iabcf598203fb40148eb7949185a42c73_79) | | |]

| Consolidated Statement of Operations, years ended September 30, [removed: 2020, 2019] [added: 2021, 2020] and [removed: 2018] [added: 2019] | [removed: [47](#s461D83E5AC08523D9D93B97D4F498D0E)] | [added: | [43](#iabcf598203fb40148eb7949185a42c73_85) | | |]

| Consolidated Statement of Comprehensive Income, years ended September 30, [removed: 2020, 2019] [added: 2021, 2020] and [removed: 2018] [added: 2019] | [removed: [48](#s7F2732EC949E5D3DB7430BF06E2645B8)] | [added: | [44](#iabcf598203fb40148eb7949185a42c73_88) | | |]

| Consolidated Statement of Cash Flows, years ended September 30, [removed: 2020, 2019] [added: 2021, 2020] and [removed: 2018] [added: 2019] | [removed: [49](#s821AE60A4B805FACABCE8AC787FDF1AB)] | [added: | [45](#iabcf598203fb40148eb7949185a42c73_94) | | |]

| Consolidated Statement of Shareowners’ Equity, years ended September 30, [removed: 2020, 2019] [added: 2021, 2020] and [removed: 2018] [added: 2019] | [removed: [50](#s534DD57ACE1C5ECFB2212B14DC823D45)] | [added: | [46](#iabcf598203fb40148eb7949185a42c73_97) | | |]

| Notes to Consolidated Financial Statements | [removed: [51](#sCA2DCDE0799A57D1A0F908BC3AE4FF94)] | [added: | [47](#iabcf598203fb40148eb7949185a42c73_100) | | |]

| Report of Independent Registered Public Accounting Firm | [removed: [94](#sEEDF19C10C455C42B3D130FF6187E1D5)] | [added: | [90](#iabcf598203fb40148eb7949185a42c73_187) | | |]

[removed: | (2) | Financial] [added: (2)Financial] Statement Schedule for the years ended September 30, [removed: 2020, 2019] [added: 2021, 2020] and [removed: 2018 |][added: 2019]

| Schedule II—Valuation and Qualifying Accounts | [removed: [S-1](#sEE85C7AE665D567CB8A298940D6DD306)] | [added: | [S-1](#iabcf598203fb40148eb7949185a42c73_229) | | |]

[removed: | (3) | Exhibits |][added: (3)Exhibits]

| [3-a](http://www.sec.gov/Archives/edgar/data/1024478/000095012302004743/y60312ex3.txt) | | | [added: | | |] [Restated Certificate of Incorporation of the Company, filed as Exhibit 3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2002, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000095012302004743/y60312ex3.txt) | [added: | |]

| [3-b](http://www.sec.gov/Archives/edgar/data/1024478/000119312516618633/d209974dex32.htm) | | | [added: | | |] [By-Laws of the Company, as amended and restated effective June 8, 2016, filed as Exhibit 3.2 to the Company’s Current Report on Form 8-K dated June 10, 2016, are hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312516618633/d209974dex32.htm) | [added: | |]

| [4-a-1](http://www.sec.gov/Archives/edgar/data/1024478/0000950123-97-010580.txt) | | | [added: | | |] [Indenture dated as of December 1, 1996 between the Company and The Bank of New York Trust Company, N.A. (formerly JPMorgan Chase, successor to The Chase Manhattan Bank, successor to Mellon Bank, N.A.), as Trustee, filed as Exhibit 4-a to Registration Statement No. 333-43071, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/0000950123-97-010580.txt) | [added: | |]

| [4-a-2](http://www.sec.gov/Archives/edgar/data/1024478/0000893838-98-000019.txt) | | | [added: | | |] [Form of certificate for the Company’s 6.70% Debentures due January 15, 2028, filed as Exhibit 4-b to the Company’s Current Report on Form 8-K dated January 26, 1998, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/0000893838-98-000019.txt) | [added: | |]

| [4-a-3](http://www.sec.gov/Archives/edgar/data/1024478/0000893838-98-000019.txt) | | | [added: | | |] [Form of certificate for the Company’s 5.20% Debentures due January 15, 2098, filed as Exhibit 4-c to the Company’s Current Report on Form 8-K dated January 26, 1998, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/0000893838-98-000019.txt) | [added: | |]

| [4-a-4](http://www.sec.gov/Archives/edgar/data/1024478/000089383807000354/rok8kdec2007ex42.htm) | | | [added: | | |] [Form of certificate for the Company’s 6.25% Debentures due December 31, 2037, filed as Exhibit 4.2 to the Company’s Current Report on Form 8-K dated December 3, 2007, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000089383807000354/rok8kdec2007ex42.htm) | [added: | |]

| [4-a-5](http://www.sec.gov/Archives/edgar/data/1024478/000119312515050697/d874178dex41.htm) | | | [added: | | |] [Form of certificate for the Company’s [removed: 2.050%] [added: 2.05](http://www.sec.gov/Archives/edgar/data/1024478/000119312515050697/d874178dex41.htm)[%] Notes due March 1, 2020, filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K dated February 17, 2015, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312515050697/d874178dex41.htm) | [added: | |]

| [4-a-6](http://www.sec.gov/Archives/edgar/data/1024478/000119312515050697/d874178dex42.htm) | | | [added: | | |] [Form of certificate for the Company’s 2.875% Notes due March 1, 2025, filed as Exhibit 4.2 to the Company’s Current Report on Form 8-K dated February 17, 2015, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312515050697/d874178dex42.htm) | [added: | |]

| [4-a-7](http://www.sec.gov/Archives/edgar/data/1024478/000119312519060203/d647306dex41.htm) | | | [added: | | |] [Form of certificate for the Company’s [removed: 3.500%] [added: 3.5](http://www.sec.gov/Archives/edgar/data/1024478/000119312519060203/d647306dex41.htm)[0%] Notes due March 1, 2029, filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K dated March 1, 2019, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312519060203/d647306dex41.htm) | [added: | |]

| [4-a-8](http://www.sec.gov/Archives/edgar/data/1024478/000119312519060203/d647306dex42.htm) | | | [added: | | |] [Form of certificate for the Company’s [removed: 4.200%] [added: 4.2](http://www.sec.gov/Archives/edgar/data/1024478/000119312519060203/d647306dex42.htm)[0%] Notes due March 1, 2049, filed as Exhibit 4.2 to the Company’s Current Report on Form 8-K dated March 1, 2019, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312519060203/d647306dex42.htm) | [added: | |]

| [4-a-9](https://www.sec.gov/Archives/edgar/data/1024478/000102447819000044/rok10k2019ex4a9.htm) | | | [added: | | |] [Description of the Company’s Securities filed as Exhibit 4-a-9 to the Company’s Annual Report on Form 10-K for the year ended September 30, 2019, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/1024478/000102447819000044/rok10k2019ex4a9.htm) | [added: | |]

| [*10-a-1](http://www.sec.gov/Archives/edgar/data/1024478/000089383802000137/rockautoex4d.txt) | | | [added: | | |] [Copy of the Company’s 2003 Directors Stock Plan, filed as Exhibit 4-d to the Company’s Registration Statement on Form S-8 (No. 333-101780), is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000089383802000137/rockautoex4d.txt) | [added: | |]

| [*10-a-2](http://www.sec.gov/Archives/edgar/data/1024478/000095012303008965/y88835exv10w1.htm) | | | [added: | | |] [Memorandum of Amendments to the Company’s 2003 Directors Stock Plan approved and adopted by the Board of Directors of the Company on April 25, 2003, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2003, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000095012303008965/y88835exv10w1.htm) | [added: | |]

| [*10-a-3](http://www.sec.gov/Archives/edgar/data/1024478/000119312508021364/dex103.htm) | | | [added: | | |] [Memorandum of Amendments to the Company’s 2003 Directors Stock Plan approved and adopted by the Board of Directors of the Company on November 7, 2007, filed as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2007, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312508021364/dex103.htm) | [added: | |]

| [*10-a-4](http://www.sec.gov/Archives/edgar/data/1024478/000119312508241034/dex10b16.htm) | | | [added: | | |] [Memorandum of Amendments to the Company’s 2003 Directors Stock Plan approved and adopted by the Board of Directors of the Company on September 3, 2008, filed as Exhibit 10-b-16 to the Company’s Annual Report on Form 10-K for the year ended September 30, 2008, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312508241034/dex10b16.htm) | [added: | |]

| [*10-a-5](http://www.sec.gov/Archives/edgar/data/1024478/000119312508090981/dex103.htm) | | | [added: | | |] [Form of Restricted Stock Unit Agreement under Section 6 of the Company’s 2003 Director’s Stock Plan, as amended, filed as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2008, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312508090981/dex103.htm) | [added: | |]

| [*10-a-6](http://www.sec.gov/Archives/edgar/data/1024478/000119312509020232/dex102.htm) | | | [added: | | |] [Copy of the Company’s Directors Deferred Compensation Plan approved and adopted by the Board of Directors of the Company on November 5, 2008, filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2008, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312509020232/dex102.htm) | [added: | |]

| [removed: [*10-a-7](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-ax7.htm)] [added: [*10-a-7](https://www.sec.gov/Archives/edgar/data/1024478/000102447821000083/rok10k2021ex10-ax7.htm)] | | | [added: | | |] [Summary of Non-Employee Director Compensation and Benefits as of October 1, [removed: 2020.](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-ax7.htm)] [added: 202](https://www.sec.gov/Archives/edgar/data/1024478/000102447821000083/rok10k2021ex10-ax7.htm)[1](https://www.sec.gov/Archives/edgar/data/1024478/000102447821000083/rok10k2021ex10-ax7.htm)[.](https://www.sec.gov/Archives/edgar/data/1024478/000102447821000083/rok10k2021ex10-ax7.htm)] | [added: | |]

| [*10-b-1](http://www.sec.gov/Archives/edgar/data/1024478/000095012310057252/c02302exv99.htm) | | | [added: | | |] [Copy of the Company’s 2008 Long-Term Incentives Plan, as amended and restated through June 4, 2010, filed as Exhibit 99 to the Company’s Current Report on Form 8-K dated June 10, 2010, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000095012310057252/c02302exv99.htm) | [added: | |]

| [*10-b-2](http://www.sec.gov/Archives/edgar/data/1024478/000119312508159876/dex101.htm) | | | [added: | | |] [Form of Stock Option Agreement under the Company’s 2008 Long-Term Incentives Plan, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2008, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312508159876/dex101.htm) | [added: | |]

| [*10-b-3](http://www.sec.gov/Archives/edgar/data/1024478/000119312509020232/dex103.htm) | | | [added: | | |] [Forms of Stock Option Agreement under the Company’s 2008 Long-Term Incentives Plan for options granted to executive officers of the Company after December 1, 2008, filed as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2008, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312509020232/dex103.htm) | [added: | |]

| [*10-b-4](http://www.sec.gov/Archives/edgar/data/1024478/000095012311008598/c10101exv10w1.htm) | | | [added: | | |] [Form of Stock Option Agreement under the Company’s 2008 Long-Term Incentives Plan, as amended, for options granted to executive officers of the Company after December 6, 2010, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2010, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000095012311008598/c10101exv10w1.htm) | [added: | |]

| [*10-b-5](http://www.sec.gov/Archives/edgar/data/1024478/000119312512045687/d278364dex101.htm) | | | [added: | | |] [Form of Stock Option Agreement under the Company’s 2008 Long-Term Incentives Plan, as amended, for options granted to executive officers of the Company after November 30, 2011, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2011, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312512045687/d278364dex101.htm) | [added: | |]

| [*10-b-6](http://www.sec.gov/Archives/edgar/data/1024478/000119312516478151/d78393dex4c.htm) | | | [added: | | |] [Copy of the Company’s 2012 Long-Term Incentives Plan, as amended and restated through February 2, 2016, filed as Exhibit 4-c to the Company’s Registration Statement on Form S-8 (No. 333-209706), is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000119312516478151/d78393dex4c.htm) | [added: | |]

| [*10-b-7](http://www.sec.gov/Archives/edgar/data/1024478/000102447813000009/q1fy13rokex101.htm) | | | [added: | | |] [Form of Stock Option Agreement under the Company’s 2012 Long-Term Incentives Plan for options granted to executive officers of the Company after December 5, 2012, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2012, is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000102447813000009/q1fy13rokex101.htm) | [added: | |]

| [*10-b-8](http://www.sec.gov/Archives/edgar/data/1024478/000102447813000009/q1fy13rokex102.htm) | | | [added: | | |] [Form of Restricted Stock Agreement under the Company’s 2012 Long-Term Incentives Plan for shares of restricted stock awarded to executive officers of the Company after December 5, 2012, filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2012 is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000102447813000009/q1fy13rokex102.htm) | [added: | |]

| [*10-b-9](http://www.sec.gov/Archives/edgar/data/1024478/000102447813000009/q1fy13rokex103.htm) | | | [added: | | |] [Form of Performance Share Agreement under the Company’s 2012 Long-Term Incentives Plan for performance shares awarded to executive officers of the Company after December 5, 2012, filed as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2012 is hereby incorporated by reference.](http://www.sec.gov/Archives/edgar/data/1024478/000102447813000009/q1fy13rokex103.htm) | [added: | |]

| [*10-b-10](https://www.sec.gov/Archives/edgar/data/1024478/000102447819000044/rok10k2019ex10b10.htm) | | | [added: | | |] [Form of Restricted Stock Agreement under the Company’s 2012 Long-Term Incentives Plan for certain awards of shares of restricted stock to executive officers of the Company after October 29, 2019, filed as Exhibit 10-b-10 to the Company’s Annual Report on Form 10-K for the year ended September 30, 2019, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/1024478/000102447819000044/rok10k2019ex10b10.htm) | [added: | |]

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| [4-a-10](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex41.htm) | | | | | | [Form of certificate for the Company’s 0.35](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex41.htm)[% Notes due August 15,](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex41.htm) [](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex41.htm)[2023, filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K dated August 17, 2021, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex41.htm) | | |

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| [4-a-11](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex42.htm) | | | | | | [Form of certificate for the Company’s 1.75](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex42.htm)[% Notes due August 15,](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex42.htm) [](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex42.htm)[2031, filed as Exhibit 4.2 to the Company’s Current Report on Form 8-K dated August 17, 2021, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex42.htm) | | |

| [4-a-12](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex43.htm) | | | | | | [Form of certificate for the Company’s 2.80](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex43.htm)[% Notes due August 15,](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex43.htm) [](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex43.htm)[2061, filed as Exhibit 4.3 to the Company’s Current Report on Form 8-K dated August 17, 2021, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521249221/d117587dex43.htm) | | |

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| [*10-b-15](https://www.sec.gov/Archives/edgar/data/0001024478/000102447821000005/q1fy21rokex101.htm) | | | | | | [Form of Stock Option Agreement for U.S. Employees under the Company’s 2020 Long-Term Incentives Plan for options awarded to executive officers of the Company after December 9, 2020, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2020, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000102447821000005/q1fy21rokex101.htm) | | |

| [*10-b-16](https://www.sec.gov/Archives/edgar/data/0001024478/000102447821000005/q1fy21rokex102.htm) | | | | | | [Form of Restricted Stock Unit Agreement for U.S. Employees under the Company’s 2020 Long-Term Incentives Plan for restricted stock units awarded to executive officers of the Company after December 9, 2020, filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2020, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000102447821000005/q1fy21rokex102.htm) | | |

| [*10-b-17](https://www.sec.gov/Archives/edgar/data/0001024478/000102447821000005/q1fy21rokex103.htm) | | | | | | [Form of Performance Share Agreement for U.S. Employees under the Company’s 2020 Long-Term Incentives Plan for performance shares awarded to executive officers of the Company after December 9, 2020, filed as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2020, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000102447821000005/q1fy21rokex103.htm) | | |

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| [*10-e-6](https://www.sec.gov/Archives/edgar/data/1024478/000102447821000083/rok10k2021ex10-ex6.htm) | | | | | | [Letter Agreement dated March 1, 2021 between Registrant and Nicholas C. Gangestad](https://www.sec.gov/Archives/edgar/data/1024478/000102447821000083/rok10k2021ex10-ex6.htm) | | |

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| [10-m-4](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521199456/d21645dex101.htm) | | | | | | [Agreement and Plan of Merger, dated June 24, 2021, among Plex Systems Holdings Inc., the Company, Merger Sub and the Representative, filed as Exhibit 10.1 to the Company's Current Report on Form 8-K dated June 25, 2021, is hereby incorporated by reference.](https://www.sec.gov/Archives/edgar/data/0001024478/000119312521199456/d21645dex101.htm) | | |

| 104 | | | | | | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | | |

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| | [added: | |] ROCKWELL AUTOMATION, INC. | | [added: | | | |]

| | | [added: | | | |] Senior Vice President and | [added: | |]

| | | [added: | | | |] Chief Financial Officer | [added: | |]

Dated: November [removed: 10, 2020][added: 9, 2021]

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below on [removed: the 10th] [added: the 9th] day [removed: of November 2020 by] [added: of November 2021 by] the following persons on behalf of the registrant and in the capacities indicated.

| | [added: | |] Senior Vice President and | [added: | |]

| | [added: | |] Chief Financial Officer | [added: | |]

| | [added: | |] (Principal Financial Officer) | [added: | |]

| By | [added: | |] /s/ TERRY L. RIESTERER | [added: | |]

| | [added: | |] Terry L. Riesterer | [added: | |]

| | [added: | |] Vice President and Controller | [added: | |]

| | [added: | |] (Principal Accounting Officer) | [added: | |]

| | [added: | |] Blake D. Moret* | [added: | |]

| | [added: | |] Chairman of the Board, President and | [added: | |]

| | [added: | |] Chief Executive Officer | [added: | |]

| | [added: | |] (Principal Executive Officer) | [added: | |]

| | [added: | |] and Director | [added: | |]

| | [added: | |] J. Phillip Holloman* | [added: | |]

| | [added: | |] Director | [added: | |]

| | [added: | |] Steven R. Kalmanson* | [added: | |]

| | [added: | |] James P. Keane* | [added: | |]

| | [added: | |] Lawrence D. Kingsley* | [added: | |]

| | [added: | |] Pam Murphy* | [added: | |]

| | [added: | |] Donald R. Parfet * | [added: | |]

| | [added: | |] Lisa A. Payne* | [added: | |]

| | [added: | |] Thomas W. Rosamilia* | [added: | |]

| | [added: | |] Patricia A. Watson* | [added: | |]

| *By | [added: | |] /s/ REBECCA W. HOUSE | [added: | |]

| | [added: | |] Rebecca W. House, Attorney-in-fact | [added: | |]

| By | [added: | |] authority of powers of attorney filed herewith | [added: | |]

For the Years [removed: Ended September] [added: Ended September] 30, [removed: 2020, 2019 and 2018][added: 2021, 2020 and 2019]

| | | | | | | [added: | | | | | |] Additions | | | | | | | | | | | | | | | [added: | | | | | |]

| (in millions) | | [added: | | | |] Balance at [removed: Beginning of] [added: Beginning of] Year | | | | [added: | |] Charged [removed: to Costs and Expenses] [added: to Costs and Expenses] | | | | [added: | |] Charged [removed: to Other Accounts] [added: to Other Accounts] | | | | [added: | |] Deductions(b) | | | | [added: | |] Balance [removed: at End of Year] [added: at End of Year] | | |

| Description | | | | | | | | | | | | | | | | | | | | | [added: | | | | | | | | | | | |]

| Year ended September 30, 2020 | | | | | | | | | | | | | | | | | | | | | [added: | | | | | | | | | | | |]

| Allowance for doubtful accounts(a) | | [added: | | | |] $ | 17.4 | | | [added: | |] $ | 7.0 | | | [added: | |] $ | 1.1 | | | [added: | |] $ | 10.3 | | | [added: | |] $ | 15.2 | |

| Valuation allowance for deferred tax assets | | [added: | | | |] 93.8 | | | | [added: | |] 3.0 | | | | [added: | |] 0.2 | | | | [added: | |] 39.0 | | | | [added: | |] 58.0 | | |

| Year ended September 30, 2019 | | | | | | | | | | | | | | | | | | | | | [added: | | | | | | | | | | | |]

| Allowance for doubtful accounts(a) | | [added: | | | |] $ | 17.1 | | | [added: | |] $ | 6.1 | | | [added: | |] $ | — | | | [added: | |] $ | 5.8 | | | [added: | |] $ | 17.4 | |

| Valuation allowance for deferred tax assets | | [added: | | | |] 27.0 | | | | [added: | |] 69.3 | | | | [added: | |] — | | | | [added: | |] 2.5 | | | | [added: | |] 93.8 | | |

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| | | | By | | | /s/ NICHOLAS C. GANGESTAD | | |

| | | | | | | Nicholas C. Gangestad | | |

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| By | | | /s/ NICHOLAS C. GANGESTAD | | |

| | | | Nicholas C. Gangestad | | |

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| | | | William P. Gipson* | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| | | | Director | | |

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| Allowance for doubtful accounts(a) | | | | | | $ | 15.2 | | | | | $ | 3.1 | | | | | $ | 0.4 | | | | | $ | 5.5 | | | | | $ | 13.2 | |

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| | By | /s/ PATRICK P. GORIS |

| | | Patrick P. Goris |

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| By | /s/ PATRICK P. GORIS |

| | Patrick P. Goris |

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| Allowance for doubtful accounts(a) | | $ | 24.9 | | | $ | 0.1 | | | $ | — | | | $ | 7.9 | | | $ | 17.1 | |

| [10-b-13](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-bx13.htm) | | [Form of Restricted Stock Unit Agreement under the Company’s 2020 Long-Term Incentives Plan for certain awards of restricted stock units to executive officers of the Company.](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-bx13.htm) |

| [10-b-14](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-bx14.htm) | | [Form of Global Restricted Stock Unit Agreement under the Company’s 2020 Long-Term Incentives Plan for certain awards of restricted stock units to executive officers of the Company after December 9, 2020.](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-bx14.htm) |

| [10-d-1](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-dx1.htm) | | [Copy of the Company’s Incentive Compensation Plan effective October 1, 2020.](https://www.sec.gov/Archives/edgar/data/1024478/000102447820000038/rok10k2020ex10-dx1.htm) |