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

Role
Sr.VP, Chief Revenue Officer
Signature
Danielle White, Attorney-in-fact for Scott Genereux
Issuer symbol
ROK
Transactions as of
07 Dec 2024
Net transactions value
-$229,776
Form type
4
Filing time
10 Dec 2024, 20:11:06 UTC
Previous filing
06 Dec 2024
Next filing
03 Mar 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 +571 +20% $0.000000 3,462 07 Dec 2024 Direct
transaction ROK Common Stock Sale $7,847 -26 -0.75% $301.80 3,436 09 Dec 2024 Direct F1, F2
transaction ROK Common Stock Sale $76,120 -252 -7.3% $302.06 3,184 09 Dec 2024 Direct F1, F3
transaction ROK Common Stock Options Exercise $0 +962 +30% $0.000000 4,146 09 Dec 2024 Direct
transaction ROK Common Stock Sale $23,623 -80 -1.9% $295.29 4,066 10 Dec 2024 Direct F4, F5
transaction ROK Common Stock Sale $53,693 -181 -4.5% $296.64 3,885 10 Dec 2024 Direct F4, F6
transaction ROK Common Stock Sale $48,798 -164 -4.2% $297.55 3,721 10 Dec 2024 Direct F4, F7
transaction ROK Common Stock Sale $19,695 -66 -1.8% $298.41 3,655 10 Dec 2024 Direct F4, 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 -571 -100% $0.000000 0 07 Dec 2024 Common Stock 571 Direct F9, F10
transaction ROK Restricted Stock Units Options Exercise $0 -962 -50% $0.000000 963 09 Dec 2024 Common Stock 962 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 11/30/2023 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 $300.9001 to $301.8401. 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 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $302.0000 to $302.1100. 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.
F4 Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/30/2023 to cover taxes due on restricted stock units that vested on 12/9/2024.
F5 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $294.8300 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.
F6 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $296.13 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.
F7 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $297.1650 to $298.1400. 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 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $298.1850 to $298.9000. 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.
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.