John M. Miller - May 20, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
VP and Chief IP Counsel
Signature
Karen A. Balistreri, Attorney-in-Fact for John M. Miller
Stock symbol
ROK
Transactions as of
May 20, 2021
Transactions value $
-$167,506
Form type
4
Date filed
5/24/2021, 04:49 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 Sale -$71.1K -276 -6.81% $257.76 3.78K May 20, 2021 Direct
transaction ROK Common Stock Options Exercise $0 +1.3K +34.44% $0.00 5.08K May 21, 2021 Direct
transaction ROK Common Stock Tax liability -$96.4K -373 -7.35% $258.35 4.7K May 21, 2021 Direct F2
holding ROK Common Stock 443 May 20, 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 -1.3K -100% $0.00* 0 May 21, 2021 Common Stock 1.3K $74.14 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 3/31/2021. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
F2 Includes 270 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.