Tessa M. Myers - 03 Aug 2023 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP, Intelligent Devices
Signature
Danielle White, Attorney-In-Fact for Tessa M Myers
Issuer symbol
ROK
Transactions as of
03 Aug 2023
Net transactions value
-$203,897
Form type
4
Filing time
07 Aug 2023, 17:08:44 UTC
Previous filing
07 Jun 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 $0 +1,820 +105% $0.000000 3,557 03 Aug 2023 Direct
transaction ROK Common Stock Sale $203,897 -677 -19% $301.18 2,880 04 Aug 2023 Direct F1, F2
holding ROK Common Stock 8 03 Aug 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 Restricted Stock Units Options Exercise $0 -1,820 -100% $0.000000* 0 03 Aug 2023 Common Stock 1,820 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 Sale of shares pursuant to a 10b5-1 trading plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 8/3/2023.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $300.94 to $301.49. 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 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 6/30/2023. 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 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.