Ernest Nicolas - Jul 7, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP,Chief Supply Chain Officer
Signature
Karen A. Balistreri, Attorney-in-fact for Ernest Nicolas
Stock symbol
ROK
Transactions as of
Jul 7, 2021
Transactions value $
-$353,280
Form type
4
Date filed
7/7/2021, 05:16 PM
Previous filing
Jun 14, 2021
Next filing
Aug 6, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $314K +2.3K +45.78% $136.40 7.32K Jul 7, 2021 Direct F2
transaction ROK Common Stock Sale -$667K -2.3K -31.4% $290.00 5.02K Jul 7, 2021 Direct F2, F3
holding ROK Common Stock 37 Jul 7, 2021 By spouse
holding ROK Common Stock 482 Jul 7, 2021 By Savings Plan F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ROK Employee Stock Option (Right to Buy) Options Exercise $0 -2.3K -100% $0.00* 0 Jul 7, 2021 Common Stock 2.3K $136.40 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 3/31/2021.
F2 Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 2/24/2021.
F3 Includes 2,280 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F4 The option vests in three substantially equal annual installments beginning on the date exercisable.