Isaac Woods - Jun 28, 2023 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Signature
Danielle White, Attorney-in-fact for Isaac Woods
Stock symbol
ROK
Transactions as of
Jun 28, 2023
Transactions value $
-$48,750
Form type
4
Date filed
6/28/2023, 04:47 PM
Previous filing
Jun 7, 2023
Next filing
Oct 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Sale -$48.8K -150 -13.76% $325.00 940 Jun 28, 2023 Direct F1, F2
holding ROK Common Stock 408 Jun 28, 2023 By Savings Plan F3
* 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 Sale of shares pursuant to a 10b5-1 trading plan entered into on 2/23/2023.
F2 Includes 350 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F3 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.