| --- | --- | --- | --- | --- | |---------------------------------|-------|-------|--------------------------------------|---------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | INVINIA | | | | | | on expanding human possibility" | | | Q3 Fiscal 2022 Earnings Presentation | July 27, 2022 | n & Safe Harbor Statement THIS PRESENTATION INCLUDES GUIDANCE AND OTHER STATEMENTS RELATED TO THE EXPECTED FUTURE RESULTS OF THE COMPANY AND ARE THEREFORE FORWARD ...

PART I. FINANCIAL INFORMATION [Financial Statements](index=4&type=section&id=Item%201.%20Financial%20Statements) The company's unaudited quarterly financial statements detail its financial position, performance, and cash flows [Consolidated Balance Sheet](index=4&type=section&id=Consolidated%20Balance%20Sheet) Total assets slightly increased to $10.80 billion, marked by higher inventories and lower cash equivalents Consolidated Balance Sheet Highlights (in millions) | Account | June 30, 2022 | September 30, 2021 | | :--- | :--- | :--- | | **Total Assets** | **$10,799.9** | **$10,701.6** | | Cash and cash equivalents | $482.9 | $662.2 | | Inventories | $989.1 | $798.1 | | Goodwill | $3,582.2 | $3,625.9 | | **Total Liabilities** | **$8,114.3** | **$8,007.5** | | Long-term debt | $3,464.1 | $3,464.6 | | **Total Shareowners' Equity** | **$2,685.6** | **$2,694.1** | [Consolidated Statement of Operations](index=5&type=section&id=Consolidated%20Statement%20of%20Operations) Quarterly sales grew 6.5% to $1.97 billion, though nine-month net income fell due to investment value changes Statement of Operations Summary (in millions, except per share amounts) | Metric | Q3 2022 | Q3 2021 | 9 Months 2022 | 9 Months 2021 | | :--- | :--- | :--- | :--- | :--- | | Total Sales | $1,968.7 | $1,848.2 | $5,634.1 | $5,189.6 | | Gross Profit | $802.4 | $764.4 | $2,215.6 | $2,178.3 | | Change in fair value of investments | $(5.2) | $43.3 | $(138.3) | $624.6 | | Net income attributable to Rockwell | $297.9 | $271.3 | $593.3 | $1,279.6 | | Diluted EPS | $2.55 | $2.32 | $5.06 | $10.91 | [Consolidated Statement of Cash Flows](index=7&type=section&id=Consolidated%20Statement%20of%20Cash%20Flows) Operating cash flow for the nine-month period decreased significantly to $423.7 million due to working capital needs Cash Flow Summary - Nine Months Ended June 30 (in millions) | Activity | 2022 | 2021 | | :--- | :--- | :--- | | Cash provided by operating activities | $423.7 | $1,056.9 | | Cash used for investing activities | $(99.2) | $(372.2) | | Cash used for financing activities | $(478.5) | $(502.8) | | **(Decrease) increase in cash** | **$(179.3)** | **$209.2** | [Notes to Consolidated Financial Statements](index=10&type=section&id=Notes%20to%20Consolidated%20Financial%20Statements) Key disclosures cover revenue recognition, the Plex Systems acquisition, goodwill, and the PTC Inc investment - As of June 30, 2022, the company had approximately **$1,080 million in unfulfilled performance obligations**, with about $540 million expected to be recognized as revenue in the next 12 months[37](index=37&type=chunk) - In August 2021, the company acquired Plex Systems for a net purchase consideration of **$2.205 billion**, resulting in $1.728 billion of goodwill allocated to the Software & Control segment[53](index=53&type=chunk)[54](index=54&type=chunk) - The annual evaluation of Goodwill in the second quarter of fiscal 2022 concluded that **these assets were not impaired**[63](index=63&type=chunk) - The company's investment in PTC Inc common stock was valued at **$1.066 billion** as of June 30, 2022, with fair value changes being a significant source of earnings volatility[69](index=69&type=chunk)[71](index=71&type=chunk)[73](index=73&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations (MD&A)](index=27&type=section&id=Item%202.%20Management's%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses strong demand and record backlog offset by supply chain constraints and inflation - The company is experiencing stress on its global supply chain due to increased demand and global events, leading to disruptions, difficulty in procuring components, increased costs, and delivery delays[120](index=120&type=chunk) Fiscal 2022 Guidance (as of July 27, 2022) | Metric | Guidance | | :--- | :--- | | Reported sales growth | 10.5% - 12.5% | | Organic sales growth | 10% - 12% | | Diluted EPS | $7.74 - $8.14 | | Adjusted EPS | $9.30 - $9.70 | [Results of Operations](index=31&type=section&id=Results%20of%20Operations) Q3 sales grew 6.5% organically, but nine-month pre-tax income fell sharply due to unfavorable PTC investment adjustments Sales Growth by Region - Q3 2022 vs Q3 2021 | Region | Reported Change | Organic Change | | :--- | :--- | :--- | | North America | 14.1% | 10.9% | | Europe, Middle East and Africa | (6.5)% | 3.2% | | Asia Pacific | (10.2)% | (5.8)% | | Latin America | 18.3% | 15.5% | | **Total Sales** | **6.5%** | **7.1%** | - **Adjusted EPS for Q3 2022 was $2.66**, a 15.2% increase from $2.31 in Q3 2021, driven by higher sales and lower incentive compensation, which offset higher input and investment costs[134](index=134&type=chunk) [Segment Analysis](index=34&type=section&id=Segment%20Analysis) The Software & Control segment drove performance with strong sales growth and margin expansion in Q3 2022 Segment Performance - Q3 2022 vs Q3 2021 | Segment | Sales Change | Operating Margin Q3 2022 | Operating Margin Q3 2021 | | :--- | :--- | :--- | :--- | | Intelligent Devices | (0.5)% | 19.7% | 21.9% | | Software & Control | 19.1% | 31.4% | 25.2% | | Lifecycle Services | 6.1% | 9.4% | 10.3% | [Financial Condition, Liquidity and Capital Resources](index=38&type=section&id=Financial%20Condition) Free cash flow declined sharply due to increased working capital, while liquidity was enhanced with a new credit facility Free Cash Flow (in millions) | Metric | Nine Months Ended June 30, 2022 | Nine Months Ended June 30, 2021 | | :--- | :--- | :--- | | Cash provided by operating activities | $423.7 | $1,056.9 | | Capital expenditures | $(100.3) | $(76.6) | | **Free cash flow** | **$323.4** | **$980.3** | - In the first nine months of fiscal 2022, the company **repurchased approximately 1.0 million shares for $225.5 million**, with $1.33 billion remaining under share repurchase authorizations[149](index=149&type=chunk) - On June 29, 2022, the company entered into a **new five-year $1.5 billion unsecured revolving credit facility**, replacing its former $1.25 billion facility[153](index=153&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=43&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company reports no material changes to its market risk exposures since its last annual report - As of June 30, 2022, there has been **no material change** to the company's exposure to foreign currency risk and interest rate risk as reported in the fiscal 2021 Form 10-K[174](index=174&type=chunk) [Controls and Procedures](index=44&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded that disclosure controls and procedures were effective with no material changes to internal controls - The Chief Executive Officer and Chief Financial Officer concluded that the company's **disclosure controls and procedures were effective** as of the end of the fiscal quarter[175](index=175&type=chunk) - There were **no material changes** in the company's internal control over financial reporting during the quarter[176](index=176&type=chunk) PART II. OTHER INFORMATION [Legal Proceedings](index=44&type=section&id=Item%201.%20Legal%20Proceedings) No material changes to legal proceedings were reported since the last annual report - As of June 30, 2022, there has been **no material change** to the legal proceedings information disclosed in the company's fiscal 2021 Form 10-K[177](index=177&type=chunk) [Risk Factors](index=44&type=section&id=Item%201A.%20Risk%20Factors) No material changes to significant risk factors were reported since the last annual report - As of June 30, 2022, there has been **no material change** to the risk factors information disclosed in the company's fiscal 2021 Form 10-K[178](index=178&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=44&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) The company repurchased 860,134 shares in the quarter and increased its buyback authorization by $1.0 billion Share Repurchases - Three Months Ended June 30, 2022 | Period | Total Shares Purchased | Average Price Paid Per Share | | :--- | :--- | :--- | | April 2022 | — | $— | | May 2022 | 408,755 | $204.71 | | June 2022 | 451,379 | $204.70 | | **Total** | **860,134** | **$204.71** | - On May 2, 2022, the Board of Directors authorized an **additional $1.0 billion** for the company's share repurchase program[180](index=180&type=chunk) [Exhibits](index=45&type=section&id=Item%206.%20Exhibits) Filed exhibits include a new $1.5 billion credit agreement and required officer certifications - A key exhibit filed is the **$1,500,000,000 Five-Year Credit Agreement** dated as of June 29, 2022[182](index=182&type=chunk)

Financial Data and Key Metrics Changes - Total orders grew by 37%, reflecting strong demand across the portfolio of core automation and digital transformation solutions [10] - Total revenue grew 2% year-over-year, with organic sales increasing a little over 1% [10][33] - Adjusted EPS in the quarter was $1.66, down 31% from the prior year [35] - Segment operating margin was 15.7%, approximately 300 basis points worse than expected [34] Business Line Data and Key Metrics Changes - Intelligent Devices organic sales declined 3% versus the prior year, a sharp reversal from 25% growth in the first quarter [12] - Lifecycle Services organic sales increased 11% versus the prior year, led by 24% growth at Sensia [13] - Software & Control organic sales grew less than 1%, reflecting component shortages [12][42] Market Data and Key Metrics Changes - North America organic sales declined by about 3% due to a higher mix of Intelligent Devices [22] - Latin America sales were up 13%, EMEA sales increased 6%, and Asia Pacific grew 9% [22] - In China, high single-digit growth was driven by strength in mass transit, life sciences, tire, and oil and gas [22] Company Strategy and Development Direction - The company aims to achieve double-digit revenue growth this fiscal year and reach $9 billion of profitable sales in the next couple of years [8] - Focus on improving semiconductor chip availability and overall resiliency through various actions [24][26] - Continued investment in digital transformation projects across various industries [20] Management's Comments on Operating Environment and Future Outlook - Management noted persistent supply chain constraints and associated cost inflation impacting sales and earnings [9] - Despite challenges, management expects gradual sequential improvement in supply chain conditions over the coming quarters [57] - The company anticipates strong revenue growth in the second half of fiscal 2022 due to high backlog and low cancellation rates [23] Other Important Information - The company has suspended business in Russia and Belarus, which accounted for less than half of 1% of total sales [28] - The Board authorized an additional $1 billion of share repurchases [32] Q&A Session Summary Question: How do you think your customers will respond if we hit a recession? - Management believes that certain multiyear investments, particularly in semiconductor and electric vehicles, will remain resilient despite economic conditions [69][72] Question: How did component availability progress throughout the quarter? - Management noted improvements in component availability as the quarter progressed, with March being the largest month for shipments [83] Question: Can you clarify the price/cost equation for the year? - Management explained that the 17% price increase is expected to yield $400 million in cost recovery, while input costs are projected to increase by $200 million for the year [92] Question: What is the outlook for Lifecycle Services and Process Solutions? - Management indicated strong activity in upstream and midstream oil and gas, with good funnel activity and new offerings being added [114] Question: Why does it take so long to get pricing through the channel? - Management explained that many customers are on annual agreements, causing delays in realizing price increases until agreements are renewed [124]

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _________________________________________ FORM 10-Q _________________________________________ (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from _______ to _______ Commission file number 1-12383 _____________________________ ...

Financial Data and Key Metrics Changes - Total orders grew by over 40% to over $2.5 billion, reflecting strong demand across the portfolio [7] - Total revenue of $1.9 billion grew 19%, with organic sales increasing 17% year-over-year [8][28] - Adjusted EPS for the quarter was $2.14, representing an 11% growth compared to the prior year when excluding a non-recurring legal settlement [29][36] - Segment operating margin was 19.1%, better than expected, but declined 70 basis points year-over-year due to higher planned spending and negative price/cost dynamics [28] Business Line Data and Key Metrics Changes - Intelligent Devices segment saw organic sales increase by 26%, with margins expanding 430 basis points to 23.7% [32] - Software & Control organic sales grew by 8%, but segment margins declined 730 basis points due to higher investment spending and acquisition integration costs [33] - Lifecycle Services organic sales increased by 10%, with a segment margin of 5.5%, which declined 340 basis points driven by higher planned investment spending [34] Market Data and Key Metrics Changes - North America organic sales grew by 16%, with strong double-digit growth across all industry segments [23] - EMEA sales increased by 15%, driven by strength in Food and Beverage and Tire and Metals [23] - Asia-Pacific was the fastest-growing region, with a 25% increase, led by Semiconductor and Food and Beverage [23] Company Strategy and Development Direction - The company expects orders for the year to exceed $9 billion, indicating a strong growth trajectory [24] - Continued investment in capacity, technology, and talent is planned to support future growth [47] - The company is focused on organic growth, followed by inorganic activities and capital returns to shareholders [45] Management's Comments on Operating Environment and Future Outlook - Management noted that supply chain constraints remain dynamic, but demand is not expected to be a constraint for the foreseeable future [71] - The company anticipates continued double-digit growth in both Core Automation and Information Solutions and Connected Services [25] - Management expressed confidence in the ongoing investments in automation and digital transformation, positioning the company for a significant multi-year growth cycle [51] Other Important Information - The company repurchased 151,000 shares at a cost of $49 million during the quarter [31] - Free cash flow was negative by $50 million due to bonus payouts and increased working capital [30] - The company expects full-year adjusted effective tax rate to be around 17% [42] Q&A Session Summary Question: Is Emulate3D becoming the new standard for factory simulation? - Management indicated that adoption is still growing, accelerated by the pandemic, allowing for better simulation of production systems before actual implementation [59][60] Question: How does the current cycle differ from previous ones regarding project pricing? - Management believes this cycle may be elongated due to significant capital investments in semiconductors, with ongoing demand despite supply chain constraints [62][63] Question: Why was the first quarter stronger than expected? - The company managed to receive more chips than anticipated, leading to better-than-expected performance in the first quarter [70][72] Question: What is the outlook for orders and revenue growth? - Management expects continued order growth in the second quarter, with a strong backlog supporting future revenue [114] Question: How is the company managing price/cost dynamics? - Price/cost is expected to negatively impact margins in the first half, but management anticipates improvements in the second half due to pricing actions [86][90] Question: Are there indications of shifting manufacturing footprints due to supply chain issues? - Management noted that while North America is seeing increased investment, there is no significant shift of manufacturing from Asia [125]

| --- | --- | --- | --- | --- | |-------|-------|-------|--------------------------------------|------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Q1 Fiscal 2022 Earnings Presentation | January 27, 2022 | Safe Harbor Statement THIS PRESENTATION INCLUDES GUIDANCE AND OTHER STATEMENTS RELATED TO THE EXPECTED FUTURE RESULTS OF THE COMPANY AND ARE THEREFORE FORWARD-LOOKING STATEMENTS. ACTUAL RESULTS MAY DIFFER MATERIALLY FROM T ...

[PART I. FINANCIAL INFORMATION](index=4&type=section&id=PART%20I.%20FINANCIAL%20INFORMATION) This section provides comprehensive financial data, including statements, management's analysis, market risk disclosures, and internal controls [Financial Statements](index=4&type=section&id=Item%201.%20Financial%20Statements%3A) This section presents the unaudited consolidated financial statements for the quarter ended December 31, 2021, reflecting a significant year-over-year decrease in net income primarily due to lower fair value gains on investments [Consolidated Balance Sheet](index=4&type=section&id=Consolidated%20Balance%20Sheet) Presents the company's financial position, detailing assets, liabilities, and equity at specific quarter-end dates Consolidated Balance Sheet Summary (in millions) | Account | Dec 31, 2021 | Sep 30, 2021 | | :--- | :--- | :--- | | **Total Current Assets** | $3,132.3 | $3,063.4 | | **Total Assets** | **$10,743.3** | **$10,701.6** | | **Total Current Liabilities** | $2,914.1 | $2,992.2 | | **Total Liabilities** | $7,936.5 | $8,007.5 | | **Total Shareowners' Equity** | $2,806.8 | $2,694.1 | | **Total Liabilities and Shareowners' Equity** | **$10,743.3** | **$10,701.6** | [Consolidated Statement of Operations](index=5&type=section&id=Consolidated%20Statement%20of%20Operations) Details the company's revenues, expenses, and net income over the reporting period Consolidated Statement of Operations (in millions, except per share amounts) | Metric | Q1 2022 (ended Dec 31, 2021) | Q1 2021 (ended Dec 31, 2020) | | :--- | :--- | :--- | | **Total Sales** | **$1,857.3** | **$1,565.3** | | Gross Profit | $749.1 | $646.5 | | Change in fair value of investments | $7.6 | $390.4 | | Income before income taxes | $282.5 | $700.7 | | **Net income attributable to Rockwell Automation, Inc.** | **$241.5** | **$593.3** | | **Diluted EPS** | **$2.05** | **$5.06** | [Consolidated Statement of Comprehensive Income](index=6&type=section&id=Consolidated%20Statement%20of%20Comprehensive%20Income) Reports net income and other comprehensive income components, reflecting total changes in equity Consolidated Statement of Comprehensive Income (in millions) | Metric | Q1 2022 (ended Dec 31, 2021) | Q1 2021 (ended Dec 31, 2020) | | :--- | :--- | :--- | | Net income | $238.9 | $590.4 | | Other comprehensive income | $4.9 | $87.0 | | **Comprehensive income attributable to Rockwell Automation, Inc.** | **$246.4** | **$680.2** | [Consolidated Statement of Cash Flows](index=7&type=section&id=Consolidated%20Statement%20of%20Cash%20Flows) Summarizes cash inflows and outflows from operating, investing, and financing activities Consolidated Statement of Cash Flows (in millions) | Activity | Q1 2022 (ended Dec 31, 2021) | Q1 2021 (ended Dec 31, 2020) | | :--- | :--- | :--- | | Cash (used for) provided by operating activities | $(12.0) | $346.5 | | Cash used for investing activities | $(48.7) | $(310.1) | | Cash used for financing activities | $(52.0) | $(37.2) | | **(Decrease) increase in cash, cash equivalents, and restricted cash** | **$(122.2)** | **$25.8** | [Consolidated Statement of Shareowners' Equity](index=8&type=section&id=Consolidated%20Statement%20of%20Shareowners%27%20Equity) Outlines changes in shareowners' equity, including net income, dividends, and share repurchases - Total shareowners' equity increased from **$2,694.1 million** at September 30, 2021, to **$2,806.8 million** at December 31, 2021, primarily driven by net income of **$238.9 million**, partially offset by cash dividends of **$130.2 million** and share repurchases of **$49.4 million**[19](index=19&type=chunk) - Cash dividends declared were **$1.12 per share** in the three months ended December 31, 2021, an increase from **$1.07 per share** in the same period of 2020[19](index=19&type=chunk) [Notes to Consolidated Financial Statements](index=9&type=section&id=Notes%20to%20Consolidated%20Financial%20Statements) Provides detailed explanations and additional information supporting the financial statements - As of December 31, 2021, the company expects to recognize approximately **$720 million** of revenue from unfulfilled performance obligations, with about **$440 million** expected in the next 12 months[30](index=30&type=chunk) - In fiscal 2022, the company acquired AVATA, a services provider, while major acquisitions in fiscal 2021 included Plex Systems for **$2.2 billion**, Oylo, and Fiix Inc[45](index=45&type=chunk)[46](index=46&type=chunk)[49](index=49&type=chunk)[50](index=50&type=chunk) - The company's investment in PTC Inc. common stock had a fair value of **$1,282.0 million** at December 31, 2021, resulting in a recorded gain of **$14.4 million** for the quarter[62](index=62&type=chunk)[63](index=63&type=chunk) Sales by Business Segment (in millions) | Segment | Q1 2022 (ended Dec 31, 2021) | Q1 2021 (ended Dec 31, 2020) | | :--- | :--- | :--- | | Intelligent Devices | $900.3 | $721.7 | | Software & Control | $513.9 | $441.0 | | Lifecycle Services | $443.1 | $402.6 | | **Total** | **$1,857.3** | **$1,565.3** | - The unaudited Consolidated Financial Statements contain all necessary adjustments, which are of a normal, recurring nature, to fairly present the financial position for the periods presented[21](index=21&type=chunk) - The independent registered public accounting firm, Deloitte & Touche LLP, concluded their review stating they are not aware of any material modifications that should be made to the interim financial information for it to be in conformity with U.S. GAAP[90](index=90&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=24&type=section&id=Item%202.%20Management%27s%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Sales for Q1 2022 increased **18.7%** year-over-year to **$1.86 billion**, driven by **16.8%** organic growth across all regions and segments, though net income and diluted EPS fell significantly due to a smaller gain from the company's PTC investment Fiscal 2022 Guidance | Metric | Guidance | | :--- | :--- | | Reported sales growth | 16% - 19% | | Organic sales growth | 14% - 17% | | Diluted EPS | $10.01 - $10.61 | | Adjusted EPS | $10.50 - $11.10 | - The supply chain is stressed by increased demand and global events, resulting in disruptions, difficulty procuring components, increased costs, and delivery delays[106](index=106&type=chunk)[110](index=110&type=chunk) Q1 Sales Growth vs. Prior Year | Metric | Change vs. Q1 2021 | | :--- | :--- | | Total Sales | +18.7% | | Organic Sales | +16.8% | | Acquisitions | +2.6% | | Currency Translation | -0.7% | - Cash used for operating activities was **$12.0 million**, a significant decrease from **$346.5 million** provided in the prior-year quarter, primarily due to higher incentive compensation payments, increases in working capital, and higher income tax payments[133](index=133&type=chunk) - The company repurchased approximately **0.2 million shares** for **$49.4 million** in Q1 2022, with approximately **$502.9 million** remaining for share repurchases under board authorizations as of December 31, 2021[134](index=134&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=38&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company states that there has been no material change to the information regarding its exposure to foreign currency risk and interest rate risk since its Annual Report on Form 10-K for the fiscal year ended September 30, 2021 - There has been no material change to the company's exposure to foreign currency risk and interest rate risk as of December 31, 2021, compared to the disclosure in the fiscal 2021 Form 10-K[154](index=154&type=chunk) [Controls and Procedures](index=38&type=section&id=Item%204.%20Controls%20and%20Procedures) Management, including the CEO and CFO, evaluated the company's disclosure controls and procedures and concluded they were effective as of the end of the quarter, with no material changes in internal control over financial reporting - The Chief Executive Officer and Chief Financial Officer concluded that the company's disclosure controls and procedures were effective as of the end of the fiscal quarter covered by this report[155](index=155&type=chunk) - There were no changes in internal control over financial reporting during the quarter that materially affected, or are reasonably likely to materially affect, the company's internal controls[156](index=156&type=chunk) [PART II. OTHER INFORMATION](index=39&type=section&id=PART%20II.%20OTHER%20INFORMATION) This section covers non-financial disclosures, including legal matters, risk factors, and equity transactions [Legal Proceedings](index=39&type=section&id=Item%201.%20Legal%20Proceedings) The company reports that there has been no material change to the information regarding its legal proceedings since its Annual Report on Form 10-K for the fiscal year ended September 30, 2021 - There has been no material change in the company's legal proceedings as of December 31, 2021, compared to the disclosure in the fiscal 2021 Form 10-K[158](index=158&type=chunk) [Risk Factors](index=39&type=section&id=Item%201A.%20Risk%20Factors) The company states that there has been no material change to its most significant risk factors since its Annual Report on Form 10-K for the fiscal year ended September 30, 2021 - There has been no material change in the company's significant risk factors as of December 31, 2021, compared to the disclosure in the fiscal 2021 Form 10-K[159](index=159&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=40&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) During the first quarter of fiscal 2022, the company repurchased **150,558 shares** of its common stock for approximately **$49.4 million**, with **$502.9 million** remaining available for future repurchases Share Repurchases for Q1 2022 (ended Dec 31, 2021) | Period | Total Shares Purchased | Average Price Paid Per Share | | :--- | :--- | :--- | | October 2021 | 61,340 | $308.06 | | November 2021 | 44,620 | $338.34 | | December 2021 | 44,598 | $345.23 | | **Total** | **150,558** | **$328.04** | - The maximum approximate dollar value of shares that may yet be purchased under the plans or programs was **$502.9 million** as of December 31, 2021[161](index=161&type=chunk) [Exhibits](index=41&type=section&id=Item%206.%20Exhibits) This section lists the exhibits filed with the quarterly report, including the letter from the independent auditor, CEO and CFO certifications, and Interactive Data Files (XBRL) - Exhibits filed include CEO and CFO certifications (Exhibits 31.1, 31.2, 32.1, 32.2) and Interactive Data Files (Exhibit 101)[163](index=163&type=chunk) [Signatures](index=42&type=section&id=Signatures) Confirms the official signing and certification of the financial report by authorized officers - The report was signed on January 27, 2022, by Nicholas C. Gangestad, Senior Vice President and Chief Financial Officer, and Terry L. Riesterer, Vice President and Controller[166](index=166&type=chunk)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ____________ Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from _______ to _______ Commission file number 1-12383 Rockwell Automation, Inc. (Exact name of registrant as specified in its charter) ...

Fourth Quarter Fiscal Year 2021 Conference Call November 2, 2021 PUBLIC 1 Safe Harbor Statement 2 THIS PRESENTATION INCLUDES GUIDANCE AND OTHER STATEMENTS RELATED TO THE EXPECTED FUTURE RESULTS OF THE COMPANY AND ARE THEREFORE FORWARD-LOOKING STATEMENTS. ACTUAL RESULTS MAY DIFFER MATERIALLY FROM THOSE PROJECTIONS DUE TO A WIDE RANGE OF RISKS AND UNCERTAINTIES, MANY OF WHICH ARE BEYOND OUR CONTROL, INCLUDING THE SEVERITY AND DURATION OF THE IMPACTS OF THE COVID-19 PANDEMIC AND EFFORTS TO MANAGE IT ON THE GLO ...

Rockwell Automation, Inc. (NYSE:ROK) Q4 Fiscal 2021 Earnings Conference Call November 2, 2021 8:30 AM ET Company Participants Jessica Kourakos – Head of Investor Relations Blake Moret – Chairman and CEO Nick Gangestad – CFO Conference Call Participants Scott Davis – Milia Research Andrew Obin – Bank of America Jeff Sprague – Vertical Research Joshua Pokrzywinski – Morgan Stanley Julian Mitchell – Barclays Stephen Tusa – J.P. Morgan Andy Kaplowitz – Citigroup Markus Meyer – UBS Noah Kaye – Oppenheimer Operat ...