Terry L. Riesterer - Nov 4, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Vice President and Controller
Signature
Karen A. Balistreri, Attorney-in-fact for Terry L. Riesterer
Stock symbol
ROK
Transactions as of
Nov 4, 2021
Transactions value $
-$284,653
Form type
4
Date filed
11/5/2021, 04:32 PM
Previous filing
Oct 5, 2021
Next filing
Dec 7, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $366K +1.9K +228.09% $192.86 2.73K Nov 4, 2021 Direct
transaction ROK Common Stock Sale -$651K -1.9K -69.52% $342.68 833 Nov 4, 2021 Direct F1
holding ROK Common Stock 690 Nov 4, 2021 By Savings Plan 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 Employee Stock Option (Right to Buy) Options Exercise $0 -1.9K -100% $0.00* 0 Nov 4, 2021 Common Stock 1.9K $192.86 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 290 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F2 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 9/30/2021. 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.
F3 The option vests in three substantially equal annual installments beginning on the date exercisable.