Statement of Changes in Beneficial Ownership (4)
December 14 2021 - 4:49PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Moret Blake D. |
2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC
[
ROK
]
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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)
12/10/2021 |
(Street)
MILWAUKEE, WI 53204
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/10/2021 | | M | | 2635 | A | $0 | 59495 | D | |
Common Stock | 12/13/2021 | | S(1) | | 759 | D | $349.9951 (2) | 58736 | D | |
Common Stock | 12/13/2021 | | S(1) | | 481 | D | $350.7662 (3) | 58255 (4) | D | |
Common Stock | | | | | | | | 165.83 (5) | I | By Savings Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (6) | 12/10/2021 | | M | | | 2635 | 12/10/2021 (7) | 12/10/2023 | Common Stock | 2635.0 | $0 | 5270 | D | |
Explanation of Responses: |
(1) | Sale of shares pursuant to a 10b5-1 trading plan entered into on 8/27/2020 to cover taxes due on restricted stock units that vested on 12/10/2021. |
(2) | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $349.51 to $350.29. 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. |
(3) | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $350.53 to $351.0501. 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. |
(4) | Includes 4,280 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
(5) | 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. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. |
(7) | The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Moret Blake D. 1201 SOUTH SECOND STREET MILWAUKEE, WI 53204 | X |
| President and CEO |
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Signatures
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Karen A. Balistreri, Attorney-in-Fact for Blake D. Moret | | 12/14/2021 |
**Signature of Reporting Person | Date |
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