Isaac Woods - 07 Dec 2024 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Vice President and Treasurer
Signature
Danielle White, Attorney-in-fact for Isaac Woods
Issuer symbol
ROK
Transactions as of
07 Dec 2024
Net transactions value
-$22,994
Form type
4
Filing time
10 Dec 2024, 20:10:29 UTC
Previous filing
06 Dec 2024
Next filing
13 Jan 2025
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 $0 +86 +4.5% $0.000000 2,016 07 Dec 2024 Direct
transaction ROK Common Stock Sale $299 -1 -0.05% $298.94 2,015 09 Dec 2024 Direct F1
transaction ROK Common Stock Sale $7,852 -26 -1.3% $302.00 1,989 09 Dec 2024 Direct F1, F2
transaction ROK Common Stock Options Exercise $0 +154 +7.7% $0.000000 2,143 09 Dec 2024 Direct
transaction ROK Common Stock Sale $2,657 -9 -0.42% $295.17 2,134 10 Dec 2024 Direct F3, F4
transaction ROK Common Stock Sale $6,527 -22 -1% $296.67 2,112 10 Dec 2024 Direct F3, F5
transaction ROK Common Stock Sale $3,274 -11 -0.52% $297.61 2,101 10 Dec 2024 Direct F3, F6
transaction ROK Common Stock Sale $2,386 -8 -0.38% $298.25 2,093 10 Dec 2024 Direct F3, F7
holding ROK Common Stock 443 07 Dec 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% $0.000000 0 07 Dec 2024 Common Stock 86 Direct F9, F10
transaction ROK Restricted Stock Units Options Exercise $0 -154 -50% $0.000000 154 09 Dec 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 11/29/2023 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 $302.0950. 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 11/29/2023 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 $294.7250 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 $296.1300 to $297.0950. 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 $297.8700. 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 $298.1850 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.