| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROK | Common Stock | Sale | -$156K | -450 | -2.39% | $346.24 | 18.3K | Dec 9, 2021 | Direct | F1, F2 |
| transaction | ROK | Common Stock | Sale | -$457K | -1.32K | -7.17% | $347.27 | 17K | Dec 9, 2021 | Direct | F1, F3 |
| transaction | ROK | Common Stock | Sale | -$531K | -1.53K | -8.96% | $348.09 | 15.5K | Dec 9, 2021 | Direct | F1, F4 |
| transaction | ROK | Common Stock | Sale | -$17.4K | -50 | -0.32% | $348.83 | 15.5K | Dec 9, 2021 | Direct | F1, F5 |
| holding | ROK | Common Stock | 27.9 | Dec 7, 2021 | By Savings Plan | F6 |
| 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 | +4.45K | $0.00 | 4.45K | Dec 7, 2021 | Common Stock | 4.45K | $350.76 | Direct | F7, F8 | |
| transaction | ROK | Restricted Stock Units | Award | $0 | +1.11K | $0.00 | 1.11K | Dec 7, 2021 | Common Stock | 1.11K | Direct | F7, F9, F10 | ||
| holding | ROK | Common Stock Share Equivalents | 66 | Dec 7, 2021 | Common Stock | 66 | Nonqual. Savings Plan | F11, F12, F13 |
| Id | Content |
|---|---|
| F1 | Sale of shares pursuant to Rule 10b5-1 plan entered into on 5/24/2021 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 $345.63 to $346.60. 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 $346.74 to $347.71. 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 $347.77 to $348.615. 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 | Includes 1,000 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
| F6 | Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2021. |
| F7 | Awarded under the Company's 2020 Long-Term Incentives Plan. |
| F8 | The options vest in three substantially equal annual installments beginning on the date exercisable. |
| F9 | Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. |
| F10 | The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
| F11 | Each unit is the economic equivalent of one share of Company common stock. |
| F12 | The share equivalents are payable in cash upon retirement or after termination of employment. |
| F13 | 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. |