Veena M. Lakkundi - Dec 7, 2024 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP, Strategy & Corp Developmt
Signature
Danielle White, attorney-in-fact for Veena M. Lakkundi
Stock symbol
ROK
Transactions as of
Dec 7, 2024
Transactions value $
-$79,855
Form type
4
Date filed
12/10/2024, 08:09 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 +371 +7.57% $0.00 5.27K Dec 7, 2024 Direct
transaction ROK Common Stock Sale -$33.8K -112 -2.13% $302.06 5.16K Dec 9, 2024 Direct F1, F2
transaction ROK Common Stock Options Exercise $0 +501 +9.71% $0.00 5.66K Dec 9, 2024 Direct
transaction ROK Common Stock Sale -$8.56K -29 -0.51% $295.26 5.63K Dec 10, 2024 Direct F3, F4
transaction ROK Common Stock Sale -$19.6K -66 -1.17% $296.68 5.56K Dec 10, 2024 Direct F3, F5
transaction ROK Common Stock Sale -$14.9K -50 -0.9% $297.82 5.51K Dec 10, 2024 Direct F3, F6
transaction ROK Common Stock Sale -$2.99K -10 -0.18% $298.90 5.5K Dec 10, 2024 Direct F3, 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 -371 -100% $0.00 0 Dec 7, 2024 Common Stock 371 Direct F8, F9
transaction ROK Restricted Stock Units Options Exercise $0 -501 -50% $0.00 501 Dec 9, 2024 Common Stock 501 Direct F8, F9
* 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 2/28/2024 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 $301.7350 to $302.3600. 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 2/28/2024 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 $294.8950 to $295.5850. 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 $296.1000 to $296.9950. 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 $297.2950 to $298.2100. 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 $298.9000 to $298.9050. 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 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.