Terry L. Riesterer - Dec 7, 2023 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Vice President and Controller
Signature
Danielle White, Attorney-in-fact for Terry L. Riesterer
Stock symbol
ROK
Transactions as of
Dec 7, 2023
Transactions value $
-$56,488
Form type
4
Date filed
12/11/2023, 09:04 PM
Previous filing
Dec 5, 2023
Next filing
Jul 17, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $0 +86 +4.85% $0.00 1.86K Dec 7, 2023 Direct
transaction ROK Common Stock Sale -$7.26K -26 -1.4% $279.12 1.83K Dec 8, 2023 Direct F1, F2
transaction ROK Common Stock Options Exercise $0 +154 +8.4% $0.00 1.99K Dec 9, 2023 Direct
transaction ROK Common Stock Options Exercise $0 +99 +4.98% $0.00 2.09K Dec 10, 2023 Direct
transaction ROK Common Stock Options Exercise $0 +299 +14.33% $0.00 2.39K Dec 10, 2023 Direct
transaction ROK Common Stock Sale -$40.8K -146 -6.12% $279.62 2.24K Dec 11, 2023 Direct F3, F4
transaction ROK Common Stock Sale -$8.41K -30 -1.34% $280.22 2.21K Dec 11, 2023 Direct F3, F5, F6
holding ROK Common Stock 608 Dec 7, 2023 By Savings Plan F6, F7

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 -86 -50% $0.00 86 Dec 7, 2023 Common Stock 86 Direct F8, F9
transaction ROK Restricted Stock Units Options Exercise $0 -154 -33.33% $0.00 308 Dec 9, 2023 Common Stock 154 Direct F8, F9
transaction ROK Restricted Stock Units Options Exercise $0 -99 -100% $0.00* 0 Dec 10, 2023 Common Stock 99 Direct F8, F9
transaction ROK Performance Shares Options Exercise $0 -299 -100% $0.00* 0 Dec 10, 2023 Common Stock 299 Direct F10
* 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 Rule 10b5-1 plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 12/7/2023.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $278.9550 to $279.62. 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 Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 12/9/2023 and 12/10/2023 and performance shares that vested on 12/10/2023.
F4 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $279.03 to $279.80. 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.
F5 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $280.20 to $280.2325. 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.
F6 Since the date of the last report of common stock 104 shares that were reported as indirectly held in the Company Savings Plan were rolled over into a self-directed IRA and are now reported as directly owned.
F7 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 11/1/2023. 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.
F8 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F9 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
F10 Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).