Blake D. Moret - Dec 10, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
President and CEO, Director
Signature
Karen A. Balistreri, Attorney-in-Fact for Blake D. Moret
Stock symbol
ROK
Transactions as of
Dec 10, 2021
Transactions value $
-$434,365
Form type
4
Date filed
12/14/2021, 03:49 PM
Previous filing
Dec 9, 2021
Next filing
Feb 1, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $0 +2.64K +4.63% $0.00 59.5K Dec 10, 2021 Direct
transaction ROK Common Stock Sale -$266K -759 -1.28% $350.00 58.7K Dec 13, 2021 Direct F1, F2
transaction ROK Common Stock Sale -$169K -481 -0.82% $350.77 58.3K Dec 13, 2021 Direct F1, F3, F4
holding ROK Common Stock 166 Dec 10, 2021 By Savings Plan F5

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 Restricted Stock Units Options Exercise $0 -2.64K -33.33% $0.00 5.27K Dec 10, 2021 Common Stock 2.64K Direct F6, F7
* 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 a 10b5-1 trading plan entered into on 8/27/2020 to cover taxes due on restricted stock units that vested on 12/10/2021.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $349.51 to $350.29. 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 $350.53 to $351.0501. 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 Includes 4,280 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F5 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.
F6 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F7 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.