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ROK Rockwell Automation Inc

274.05
4.01 (1.48%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Rockwell Automation Inc NYSE:ROK NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  4.01 1.48% 274.05 277.71 272.74 273.89 995,629 00:59:59

Statement of Changes in Beneficial Ownership (4)

09/12/2021 11:30pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Moret Blake D.
2. Issuer Name and Ticker or Trading Symbol

ROCKWELL AUTOMATION, INC [ ROK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

1201 SOUTH SECOND STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

12/7/2021
(Street)

MILWAUKEE, WI 53204
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (Right to Buy) $350.76 12/7/2021  A (1)  30794    12/7/2022 (2)12/7/2031 Common Stock 30794.0 $0 30794 D  
Restricted Stock Units  (3)12/7/2021  A (1)  7698    12/7/2022 (4)12/7/2024 Common Stock 7698.0 $0 7698 D  
Common Stock Share Equivalents  (5)           (6) (6)Common Stock 460.22  460.22 (7)I Nonqual. Savings Plan 

Explanation of Responses:
(1) Awarded under the Company's 2020 Long-Term Incentives Plan.
(2) The options vest in three substantially equal annual installments beginning on the date exercisable.
(3) Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
(4) The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
(5) Each unit is the economic equivalent of one share of Company common stock.
(6) The share equivalents are payable in cash upon retirement or after termination of employment.
(7) 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Moret Blake D.
1201 SOUTH SECOND STREET
MILWAUKEE, WI 53204
X
President and CEO

Signatures
Karen A. Balistreri, Attorney-in-Fact for Blake D. Moret12/9/2021
**Signature of Reporting PersonDate

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