Statement of Changes in Beneficial Ownership (4)
August 12 2020 - 7:10PM
Edgar (US Regulatory)
FORM 4
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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
*
Etzel Steven W. |
2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC
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ROK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP and Treasurer |
(Last)
(First)
(Middle)
ROCKWELL AUTOMATION, INC., 1201 SOUTH 2ND STREET, E-7F19 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/10/2020 |
(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 | | | | | | | | 669.5654 (1) | I | By Savings Plan |
Common Stock | 8/10/2020 | | M | | 1000 | A | $115.69 | 9923 | D | |
Common Stock | 8/10/2020 | | S | | 1000 | D | $229.885 (2) | 8923 (3) | D | |
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 |
Employee Stock Option (Right to Buy) | $115.69 | 8/10/2020 | | M | | 1000 | | 12/2/2015 | 12/2/2024 | Common Stock | 1000 | $0 | 2200 | D | |
Explanation of Responses: |
(1) | Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 06/30/2020. |
(2) | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $229.8100 to $229.9200. 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) | Includes 1,040 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Etzel Steven W. ROCKWELL AUTOMATION, INC. 1201 SOUTH 2ND STREET, E-7F19 MILWAUKEE, WI 53204 |
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| VP and Treasurer |
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Signatures
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Karen A. Balistreri, Attorney-in-Fact for Steven W. Etzel | | 8/12/2020 |
**Signature of Reporting Person | Date |
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