Filing Details
- Accession Number:
- 0001024478-23-000207
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-11 21:04:12
- Reporting Period:
- 2023-12-07
- Accepted Time:
- 2023-12-11 21:04:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1024478 | Rockwell Automation Inc | ROK | Measuring & Controlling Devices, Nec (3829) | 251797617 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1794668 | L. Terry Riesterer | 1201 South Second Street Milwaukee WI 53204 | Vice President And Controller | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-12-07 | 86 | $0.00 | 1,859 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-08 | 26 | $279.12 | 1,833 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-09 | 154 | $0.00 | 1,987 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-10 | 99 | $0.00 | 2,086 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-10 | 299 | $0.00 | 2,385 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-11 | 146 | $279.62 | 2,239 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-12-11 | 30 | $280.22 | 2,209 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2023-12-07 | 86 | $0.00 | 86 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2023-12-09 | 154 | $0.00 | 154 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2023-12-10 | 99 | $0.00 | 99 | $0.00 |
| Common Stock | Performance Shares | Disposition | 2023-12-10 | 299 | $0.00 | 299 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 86 | 2022-12-07 | 2024-12-07 | No | 4 | M | Direct |
| 308 | 2023-12-09 | 2025-12-09 | No | 4 | M | Direct |
| 0 | 2021-12-10 | 2023-12-10 | No | 4 | M | Direct |
| 0 | 2023-12-10 | 2023-12-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 608 | Indirect | By Savings Plan |
Footnotes
- Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 12/7/2023.
- Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $278.9550 to $279.62. 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.
- Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 12/9/2023 and 12/10/2023 and performance shares that vested on 12/10/2023.
- Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $279.03 to $279.80. 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.
- Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $280.20 to $280.2325. 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.
- Since the date of the last report of common stock 104 shares that were reported as indirectly held in the Company Savings Plan were rolled over into a self-directed IRA and are now reported as directly owned.
- 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 11/1/2023. 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.
- Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
- The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
- Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
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