Blake D. Moret - Jun 9, 2023 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
President and CEO, Director
Signature
Danielle White, Attorney-in-Fact for Blake D. Moret
Stock symbol
ROK
Transactions as of
Jun 9, 2023
Transactions value $
-$7,198,000
Form type
4
Date filed
6/9/2023, 04:21 PM
Previous filing
May 25, 2023
Next filing
Jun 13, 2023
SEC
View on sec.gov

Transactions Table

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 Employee Stock Option (Right to Buy) Options Exercise -$2.73M -23.6K -100% $115.69 0 Jun 9, 2023 Common Stock 23.6K $115.69 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Option exercise and sale of option shares pursuant to a Rule 10b5-1 trading plan entered into on 2/23/2023.
F2 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 3/31/2023.