Brian A. Shepherd - 07 Dec 2023 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Sr. VP Software and Control
Signature
Danielle White, Attorney-in-fact for Brian A. Shepherd
Issuer symbol
ROK
Transactions as of
07 Dec 2023
Net transactions value
-$141,682
Form type
4
Filing time
11 Dec 2023, 21:02:51 UTC
Previous filing
02 Feb 2023
Next filing
02 Feb 2024
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 $0 +428 +14% $0.000000 3,519 07 Dec 2023 Direct
transaction ROK Common Stock Sale $53,855 -193 -5.5% $279.04 3,326 08 Dec 2023 Direct F1, F2
transaction ROK Common Stock Sale $280 -1 -0.03% $279.62 3,325 08 Dec 2023 Direct F1
transaction ROK Common Stock Options Exercise $0 +693 +21% $0.000000 4,018 09 Dec 2023 Direct
transaction ROK Common Stock Sale $76,341 -273 -6.8% $279.64 3,745 11 Dec 2023 Direct F3, F4
transaction ROK Common Stock Sale $11,206 -40 -1.1% $280.16 3,705 11 Dec 2023 Direct F3, F5

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 Restricted Stock Units Options Exercise $0 -428 -50% $0.000000 428 07 Dec 2023 Common Stock 428 Direct F6, F7
transaction ROK Restricted Stock Units Options Exercise $0 -693 -33% $0.000000 1,386 09 Dec 2023 Common Stock 693 Direct F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Sale of shares pursuant to Rule 10b5-1 plan entered into on 5/24/2023 to cover taxes due on restricted stock units that vested on 12/7/2023.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $278.57 to $279.42. 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 Sale of shares pursuant to Rule 10b5-1 plan entered into on 5/24/2023 to cover taxes due on restricted stock units that vested on 12/9/2023.
F4 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $279.03 to $279.8950. 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.
F5 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $280.03 to $280.28. 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.
F6 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F7 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.