Sujeet Chand - 06 Aug 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Sr VP, Technology
Signature
Karen A. Balistreri, Attorney-in fact for Sujeet Chand
Issuer symbol
ROK
Transactions as of
06 Aug 2021
Transactions value $
-$1,950,000
Form type
4
Filing time
10 Aug 2021, 20:51:18
Previous filing
24 May 2021
Next filing
17 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities -$1.75M -5.57K -83.63% $314.33 1.09K 06 Aug 2021 By Savings Plan F1
holding ROK Common Stock 29.1K 06 Aug 2021 Direct F2

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 Common Stock Share Equivalents Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities -$200K -636 -79.72% $314.33 162 06 Aug 2021 Common Stock 636 Nonqual. Savings Plan F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 8/6/2021. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
F2 Includes 1,410 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F3 Each unit is the economic equivalent of one share of Company common stock.
F4 The share equivalents are payable in cash upon retirement or after termination of employment.
F5 Includes shares represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 8/6/2021. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.