Key facts
- This page summarizes Ernest Nicolas's Form 4 filing for ROCKWELL AUTOMATION, INC (ROK).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 14 Dec 2021, 16:28.
Ernest Nicolas - 10 Dec 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)
- Reporting relationship
- SVP,Chief Supply Chain Officer
- Issuer ticker
- ROK
- Reported as of
- 10 Dec 2021
- Net transaction value
- -$33,563
- SEC form
- 4
- Accepted by SEC
- 14 Dec 2021, 16:28:50 UTC
- Prior SEC filing
- 09 Dec 2021
- Next SEC filing
- 16 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 14 Dec 2021.
Change
- Previous filing in this sequence was filed on 09 Dec 2021.
- Current net transaction value: -$33,563.
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 non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ROK
transaction
Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +203
- Change %
- +4.2%
- Price
- $0.000000
- Shares after
- 5,038
- Date
- 10 Dec 2021
- Ownership
- Direct
ROK
transaction
Common Stock
Sale
- Transaction value
- $33,563
- Shares
- -96
- Change %
- -1.9%
- Price
- $349.62
- Shares after
- 4,942
- Date
- 13 Dec 2021
- Ownership
- Direct
- Footnotes
- F1, F2, F3
ROK
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 37
- Date
- 10 Dec 2021
- Ownership
- By spouse
ROK
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 500
- Date
- 10 Dec 2021
- Ownership
- By Savings Plan
- Footnotes
- F4
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ROK
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -203
- Change %
- -33%
- Price
- $0.000000
- Shares after
- 407
- Date
- 10 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 203
- Exercise price
- Footnotes
- F5, F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote F1
Sale of shares pursuant to a 10b5-1 trading plan entered into on 2/24/2021 to cover taxes due on restricted stock units that vested on 12/10/2021.
Footnote F2
Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $349.61 to $350.11. 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.
Footnote F3
Includes 1,210 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
Footnote F4
Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2021.
Footnote F5
Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
Footnote F6
The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.