Rebecca W. House - Dec 9, 2022 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP, CLO and Secretary
Signature
Danielle White, Attorney-in-fact for Rebecca W. House
Stock symbol
ROK
Transactions as of
Dec 9, 2022
Transactions value $
-$59,489
Form type
4
Date filed
12/13/2022, 05:02 PM
Previous filing
Dec 8, 2022
Next filing
Feb 9, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock +Options Exercise $0 +487 +4.91% $0.00 10,397 Dec 10, 2022 Direct
transaction ROK Common Stock -Sell -$59,489 -230 -2.21% $258.65 10,167 Dec 12, 2022 Direct F1, F2, F3
holding ROK Common Stock 49 Dec 9, 2022 By savings plan F4

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 -487 -50% $0.00 487 Dec 10, 2022 Common Stock 487 Direct F5, F6
transaction ROK Employee Stock Option (Right to Buy) +Grant/Award $0 +11,595 $0.00 11,595 Dec 9, 2022 Common Stock 11,595 $259.81 Direct F7, F8
transaction ROK Restricted Stock Units +Grant/Award $0 +3,465 $0.00 3,465 Dec 9, 2022 Common Stock 3,465 Direct F5, F6, F7
holding ROK Common Stock Share Equivalents 25 Dec 9, 2022 Common Stock 25 NQ Savings Plan F9, F10, F11

Explanation of Responses:

Id Content
F1 Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/28/2022 to cover taxes due on restricted stock units that vested on 12/10/2022.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $258.56 to $259.0350. 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 Includes 1,370 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F4 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2022.
F5 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F6 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
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 unit is the economic equivalent of one share of Company common stock.
F10 The share equivalents are payable in cash upon retirement or after termination of employment.
F11 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 11/1/2022. 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.