Ernest Nicolas - Dec 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
Dec 7, 2021
Transactions value $
$0
Form type
4
Date filed
12/9/2021, 05:38 PM
Previous filing
Dec 7, 2021
Next filing
Dec 14, 2021

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) Award $0 +3.42K $0.00 3.42K Dec 7, 2021 Common Stock 3.42K $350.76 Direct F1, F2
transaction ROK Restricted Stock Units Award $0 +856 $0.00 856 Dec 7, 2021 Common Stock 856 Direct F1, F3, F4
holding ROK Common Stock Share Equivalents 48.9 Dec 7, 2021 Common Stock 48.9 Nonqual. Savings Plan F5, F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Awarded under the Company's 2020 Long-Term Incentives Plan.
F2 The options vest in three substantially equal annual installments beginning on the date exercisable.
F3 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F4 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
F5 Each unit is the economic equivalent of one share of Company common stock.
F6 The share equivalents are payable in cash upon retirement or after termination of employment.
F7 Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided 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 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.