Statement of Changes in Beneficial Ownership (4)
December 14 2020 - 5:08PM
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
*
Chand Sujeet |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr VP & Chief Tech. Officer |
(Last)
(First)
(Middle)
1201 SOUTH SECOND STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/10/2020 |
(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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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 |
Common Stock Share Equivalents | (1) | | | | | | | (2) | (2) | Common Stock | 789.8196 | | 789.8196 (3) | I | Nonqual. Savings Plan |
Restricted stock units | (4) | 12/10/2020 | | A (5) | | 1095 | | 12/10/2021 (6) | 12/10/2023 | Common Stock | 1095 | $0 | 1095 | D | |
Employee stock option (right to buy) | $246.77 | 12/10/2020 | | A (5) | | 4900 | | 12/10/2021 (7) | 12/10/2030 | Common Stock | 4900 | $0 | 4900 | D | |
Explanation of Responses: |
(1) | Each unit is the economic equivalent of one share of Company common stock. |
(2) | The share equivalents are payable in cash upon retirement or after termination of employment. |
(3) | Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 11/2/2020. 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. |
(4) | Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. |
(5) | Awarded under the Company's 2020 Long-Term Incentives Plan. |
(6) | The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
(7) | The option vests 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 |
Chand Sujeet 1201 SOUTH SECOND STREET MILWAUKEE, WI 53204 |
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| Sr VP & Chief Tech. Officer |
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Signatures
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Karen A. Balistreri, Attorney-in fact for Sujeet Chand | | 12/14/2020 |
**Signature of Reporting Person | Date |
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