Terry L. Riesterer - Dec 4, 2024 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 4, 2024
Transactions value $
-$13,334
Form type
4
Date filed
12/6/2024, 04:57 PM
Previous filing
Jul 17, 2024
Next filing
Dec 10, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $0 +150 +6.79% $0.00 2.36K Dec 4, 2024 Direct
transaction ROK Common Stock Sale -$13.3K -45 -1.91% $296.30 2.31K Dec 5, 2024 Direct F1, F2
holding ROK Common Stock 619 Dec 4, 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 Restricted Stock Units Options Exercise $0 -150 -33.26% $0.00 301 Dec 4, 2024 Common Stock 150 Direct F4, F5
transaction ROK Employee Stock Option (Right to Buy) Award $0 +1.28K $0.00 1.28K Dec 5, 2024 Common Stock 1.28K $297.10 Direct F6, F7
transaction ROK Restricted Stock Units Award $0 +404 $0.00 404 Dec 5, 2024 Common Stock 404 Direct F4, F5, F6
holding ROK Common Stock Share Equivalents 28.4 Dec 4, 2024 Common Stock 28.4 By nonqualified savings plan F8, F9, 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 11/28/2023 to cover taxes due on restricted stock units that vested on 12/4/2024.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $296.30 to $296.4050. 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 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F5 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
F6 Awarded under the Company's 2020 Long-Term Incentives Plan.
F7 The options vest in three substantially equal annual installments beginning on the date exercisable.
F8 Each unit is the economic equivalent of one share of Company common stock.
F9 The share equivalents are payable in cash upon retirement or after termination of employment.
F10 Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified 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.