Key facts
- This page summarizes Ernest Nicolas's Form 4 filing for ROCKWELL AUTOMATION, INC (ROK).
- 2 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 09 Dec 2021, 17:38.
Ernest Nicolas - 07 Dec 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)
- Reporting relationship
- SVP,Chief Supply Chain Officer
- Issuer ticker
- ROK
- Reported as of
- 07 Dec 2021
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 09 Dec 2021, 17:38:44 UTC
- Prior SEC filing
- 07 Dec 2021
- Next SEC filing
- 14 Dec 2021
- Source filing
- View source filing
- Reporting owner signature
- Karen A. Balistreri, Attorney-in-fact for Ernest Nicolas
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Ernest Nicolas filed Form 4 for ROCKWELL AUTOMATION, INC (ROK) on 09 Dec 2021.
Change
- Previous filing in this sequence was filed on 07 Dec 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ROK
transaction
Derivative
Employee Stock Option (Right to Buy)
Award
- Transaction value
- $0
- Shares
- +3,422
- Change %
- Price
- $0.000000
- Shares after
- 3,422
- Date
- 07 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 3,422
- Exercise price
- $350.76
- Footnotes
- F1, F2
ROK
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +856
- Change %
- Price
- $0.000000
- Shares after
- 856
- Date
- 07 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 856
- Exercise price
- Footnotes
- F1, F3, F4
ROK
holding
Derivative
Common Stock Share Equivalents
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 49
- Date
- 07 Dec 2021
- Ownership
- Nonqual. Savings Plan
- Underlying class
- Common Stock
- Underlying amount
- 49
- Exercise price
- Footnotes
- F5, F6, F7
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 7 footnotes
Footnote F1
Awarded under the Company's 2020 Long-Term Incentives Plan.
Footnote F2
The options vest in three substantially equal annual installments beginning on the date exercisable.
Footnote F3
Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
Footnote F4
The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
Footnote F5
Each unit is the economic equivalent of one share of Company common stock.
Footnote F6
The share equivalents are payable in cash upon retirement or after termination of employment.
Footnote F7
Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 11/1/2021. The number of stock fund units represented by the balance of the participant's Company stock fund 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.