Isaac Woods - Dec 9, 2022 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Vice President and Treasurer
Signature
Danielle White, Attorney-in-fact for Isaac Woods
Stock symbol
ROK
Transactions as of
Dec 9, 2022
Transactions value $
-$4,919
Form type
4
Date filed
12/13/2022, 05:23 PM
Previous filing
Dec 7, 2022
Next filing
Feb 27, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $0 +58 +11.31% $0.00 571 Dec 10, 2022 Direct
transaction ROK Common Stock Sale -$4.92K -19 -3.33% $258.88 552 Dec 12, 2022 Direct F1, F2, F3
holding ROK Common Stock 397 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 -58 -49.57% $0.00 59 Dec 10, 2022 Common Stock 58 Direct F5, F6
transaction ROK Employee Stock Option (Right to Buy) Award $0 +1.55K $0.00 1.55K Dec 9, 2022 Common Stock 1.55K $259.81 Direct F7, F8
transaction ROK Restricted Stock Units Award $0 +462 $0.00 462 Dec 9, 2022 Common Stock 462 Direct F5, 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 Rule 10b5-1 plan entered into on 8/9/2022 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 $258.66 to $259.18. 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 350 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.