JOHN M. MILLER - 18 Nov 2024 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
VP and Chief IP Counsel
Signature
Danielle White, Attorney-in-Fact for John M. Miller
Issuer symbol
ROK
Transactions as of
18 Nov 2024
Net transactions value
-$83,803
Form type
4
Filing time
20 Nov 2024, 17:37:15 UTC
Previous filing
16 May 2024
Next filing
06 Dec 2024
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 $48,605 +467 +9.7% $104.08 5,267 18 Nov 2024 Direct F1
transaction ROK Common Stock Sale $132,660 -467 -8.9% $284.07 4,800 18 Nov 2024 Direct F1, F2
transaction ROK Common Stock Options Exercise $92,552 +800 +17% $115.69 5,600 18 Nov 2024 Direct
transaction ROK Common Stock Tax liability $92,300 -326 -5.8% $283.13 5,274 18 Nov 2024 Direct
holding ROK Common Stock 469 18 Nov 2024 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 $0 -467 -34% $0.000000 900 18 Nov 2024 Common Stock 467 $104.08 Direct F4
transaction ROK Employee Stock Option (Right to Buy) Options Exercise $0 -800 -100% $0.000000 0 18 Nov 2024 Common Stock 800 $115.69 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 11/30/2023.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $284 to $284.69. 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 11/1/2024. 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.