Christopher Nardecchia - 20 Jul 2021 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
SVP, Chief Information Officer
Signature
Karen A. Balistreri, Attorney-in-fact for Christopher Nardecchia
Issuer symbol
ROK
Transactions as of
20 Jul 2021
Transactions value $
-$900,276
Form type
4
Filing time
21 Jul 2021, 19:25:15 UTC
Previous filing
19 Jul 2021
Next filing
05 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $719K +3.73K +46.25% $192.86 11.8K 20 Jul 2021 Direct F1
transaction ROK Common Stock Options Exercise $1.01M +5.2K +44.1% $195.16 17K 20 Jul 2021 Direct F1
transaction ROK Common Stock Sale -$2.63M -8.93K -52.55% $295.03 8.06K 20 Jul 2021 Direct F1, F2, F3
holding ROK Common Stock 5.2 20 Jul 2021 By Savings Plan F4

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 -88.18% $0.00 500 20 Jul 2021 Common Stock 3.73K $192.86 Direct F5
transaction ROK Employee Stock Option (Right to Buy) Options Exercise $0 -5.2K -100% $0.00* 0 20 Jul 2021 Common Stock 5.2K $195.16 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 2/25/2021.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $295.00 to $295.22. 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.
F3 Includes 6,500 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F4 Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 6/30/2021.
F5 The option vests in three substantially equal annual installments beginning on the date exercisable.