Terry L. Riesterer - Dec 7, 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 7, 2024
Transactions value $
-$21,202
Form type
4
Date filed
12/10/2024, 08:07 PM
Previous filing
Dec 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $0 +86 +3.72% $0.00 2.4K Dec 7, 2024 Direct
transaction ROK Common Stock Sale -$7.55K -25 -1.04% $301.96 2.38K Dec 9, 2024 Direct F1, F2
transaction ROK Common Stock Options Exercise $0 +154 +6.48% $0.00 2.53K Dec 9, 2024 Direct
transaction ROK Common Stock Sale -$2.36K -8 -0.32% $295.09 2.52K Dec 10, 2024 Direct F3, F4
transaction ROK Common Stock Sale -$6.23K -21 -0.83% $296.59 2.5K Dec 10, 2024 Direct F3, F5
transaction ROK Common Stock Sale -$4.17K -14 -0.56% $297.80 2.49K Dec 10, 2024 Direct F3, F6
transaction ROK Common Stock Sale -$895 -3 -0.12% $298.25 2.48K Dec 10, 2024 Direct F3, F7
holding ROK Common Stock 619 Dec 7, 2024 By Savings Plan F8

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 -100% $0.00 0 Dec 7, 2024 Common Stock 86 Direct F9, F10
transaction ROK Restricted Stock Units Options Exercise $0 -154 -50% $0.00 154 Dec 9, 2024 Common Stock 154 Direct 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 12/7/2024.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $301.7950 to $302.19. 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 11/28/2023 to cover taxes due on restricted stock units that vested on 12/9/2024.
F4 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $294.7400 to $295.5550. 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 $296.0500 to $297.0350. 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 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $297.1850 to $298.1500. 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.
F7 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $298.1975 to $298.2750. 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.
F8 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2024.
F9 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F10 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.