Robert L. Buttermore - Feb 13, 2023 Form 3 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP,Chief Supply Chain Officer
Signature
Danielle White, Attorney-in-fact for Robert L. Buttermore
Stock symbol
ROK
Transactions as of
Feb 13, 2023
Transactions value $
$0
Form type
3
Date filed
2/13/2023, 07:08 PM
Next filing
Jun 7, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ROK Common Stock 1.3K Feb 13, 2023 Direct
holding ROK Common Stock 266 Feb 13, 2023 By Savings Plan F1

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
holding ROK Employee Stock Option (Right to Buy) Feb 13, 2023 Common Stock 800 $196.43 Direct F2
holding ROK Employee Stock Option (Right to Buy) Feb 13, 2023 Common Stock 1.05K $246.77 Direct F2
holding ROK Employee Stock Option (Right to Buy) Feb 13, 2023 Common Stock 822 $350.76 Direct F2
holding ROK Employee Stock Option (Right to Buy) Feb 13, 2023 Common Stock 1.55K $259.81 Direct F2
holding ROK Restricted Stock Units Feb 13, 2023 Common Stock 235 $0.00 Direct F3, F4
holding ROK Restricted Stock Units Feb 13, 2023 Common Stock 206 $0.00 Direct F3, F4
holding ROK Restricted Stock Units Feb 13, 2023 Common Stock 4.66K $0.00 Direct F3, F4
holding ROK Restricted Stock Units Feb 13, 2023 Common Stock 462 $0.00 Direct F3, F4
holding ROK Performance Shares Feb 13, 2023 Common Stock 255 $0.00 Direct F5, F6
holding ROK Performance Shares Feb 13, 2023 Common Stock 200 $0.00 Direct F6, F7
holding ROK Performance Shares Feb 13, 2023 Common Stock 470 $0.00 Direct F6, F8
holding ROK Common Stock Share Equivalents Feb 13, 2023 Common Stock 60.5 By Nonqualified Savings Plan F9, F10, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 1/17/2023.
F2 The options vest in three substantially equal annual installments beginning on the date exercisable.
F3 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
F4 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F5 Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 10, 2023, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
F6 Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
F7 Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 7, 2024, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
F8 Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
F9 The share equivalents are payable in cash upon retirement or after termination of employment.
F10 Share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan based on information furnished by the Plan Administrator as of 1/17/2023.
F11 Each unit is the economic equivalent of one share of Company common stock.