Frank C. Kulaszewicz - 13 Jun 2023 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Senior Vice President
Signature
Danielle White, Attorney-in-fact for Frank C. Kulaszewicz
Issuer symbol
ROK
Transactions as of
13 Jun 2023
Net transactions value
-$2,395,990
Form type
4
Filing time
13 Jun 2023, 20:07:10 UTC
Previous filing
28 Feb 2023
Next filing
03 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $1,178,580 +6,000 +39% $196.43 21,389 13 Jun 2023 Direct F1
transaction ROK Common Stock Sale $1,860,000 -6,000 -28% $310.00 15,389 13 Jun 2023 Direct F1
transaction ROK Common Stock Sale $535,990 -1,729 -11% $310.00 13,660 13 Jun 2023 Direct F2
holding ROK Common Stock 28 13 Jun 2023 By Savings Plan F3

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 $1,178,580 -6,000 -38% $196.43 9,800 13 Jun 2023 Common Stock 6,000 $196.43 Direct F4
* 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 Sale of shares pursuant to a Rule 10b5-1 trading plan entered into on 2/23/2023.
F3 Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 3/31/2023. The number of stock fund units represented by the balance of the participant's Company stock fund account 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.
F4 The options vested in three substantially equal annual installments beginning on the date exercisable.