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

Signature
Karen A. Balistreri, Attorney-in-fact for Ernest Nicolas
Stock symbol
ROK
Transactions as of
Dec 4, 2021
Transactions value $
-$111,058
Form type
4
Date filed
12/7/2021, 05:20 PM
Previous filing
Nov 2, 2021
Next filing
Dec 9, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $0 +548 +11.89% $0.00 5.16K Dec 4, 2021 Direct
transaction ROK Common Stock Sale -$53.3K -156 -3.02% $341.70 5K Dec 6, 2021 Direct F1, F2
transaction ROK Common Stock Sale -$20.9K -61 -1.22% $342.51 4.94K Dec 6, 2021 Direct F1, F3
transaction ROK Common Stock Sale -$16.5K -48 -0.97% $343.46 4.89K Dec 6, 2021 Direct F1, F4
transaction ROK Common Stock Sale -$20.4K -59 -1.21% $345.31 4.83K Dec 6, 2021 Direct F1, F5, F6
holding ROK Common Stock 37 Dec 4, 2021 By spouse
holding ROK Common Stock 500 Dec 4, 2021 By Savings Plan F7

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 Performance Shares Options Exercise $0 -548 -100% $0.00* 0 Dec 4, 2021 Common Stock 548 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/24/2021 to cover taxes due on restricted stock and performance shares that vested on 12/4/2021.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $341.02 to $341.93. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F3 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $342.14 to $342.71. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F4 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $343.34 to $343.51. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F5 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $345.01 to $345.58. The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
F6 Includes 1,210 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F7 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 11/1/2021. 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.
F8 Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).