Ernest Nicolas - Jun 3, 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP,Chief Supply Chain Officer
Signature
Karen A. Balistreri, Attorney-in-fact for Ernest Nicolas
Stock symbol
ROK
Transactions as of
Jun 3, 2021
Transactions value $
-$53,279
Form type
4
Date filed
6/4/2021, 05:28 PM
Next filing
Jun 9, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $27.6K +239 +4.47% $115.69 5.58K Jun 3, 2021 Direct
transaction ROK Common Stock Sale -$65.7K -239 -4.28% $275.00 5.34K Jun 3, 2021 Direct F2, F3
transaction ROK Common Stock Options Exercise $11K +95 +1.78% $115.69 5.44K Jun 4, 2021 Direct
transaction ROK Common Stock Sale -$26.2K -95 -1.75% $275.72 5.34K Jun 4, 2021 Direct F2, F4
holding ROK Common Stock 37 Jun 3, 2021 By spouse
holding ROK Common Stock 482 Jun 3, 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 -239 -71.56% $0.00 95 Jun 3, 2021 Common Stock 239 $115.69 Direct
transaction ROK Employee Stock Option (Right to Buy) Options Exercise $0 -95 -100% $0.00* 0 Jun 4, 2021 Common Stock 95 $115.69 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 Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 2/24/2021.
F3 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $275.00 to $275.01. 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 Includes 3,280 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.