Rebecca W. House - May 5, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP, Chief People & Legal &Sec
Signature
Karen A. Balistreri, Attorney-in-fact for Rebecca W. House
Stock symbol
ROK
Transactions as of
May 5, 2021
Transactions value $
-$1,076,812
Form type
4
Date filed
5/7/2021, 07:21 PM
Next filing
Oct 5, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $517K +3.73K +60.65% $138.54 9.89K May 5, 2021 Direct
transaction ROK Common Stock Sale -$989K -3.73K -37.75% $265.02 6.15K May 5, 2021 Direct F2, F3
transaction ROK Common Stock Options Exercise $637K +4.6K +74.76% $138.54 10.8K May 7, 2021 Direct
transaction ROK Common Stock Sale -$1.24M -4.6K -42.78% $270.01 6.15K May 7, 2021 Direct F2, F4, F5
holding ROK Common Stock 47.5 May 5, 2021 By savings plan F1

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 Employee Stock Option (Right to Buy) Options Exercise $0 -3.73K -44.79% $0.00 4.6K May 5, 2021 Common Stock 3.73K $138.54 Direct
transaction ROK Employee Stock Option (Right to Buy) Options Exercise $0 -4.6K -100% $0.00* 0 May 7, 2021 Common Stock 4.6K $138.54 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 3/31/2021.
F2 Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 2/25/2021.
F3 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $265.00 to $265.18. 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 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $270.00 to $270.09. 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 Includes 3,020 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.