Statement of Changes in Beneficial Ownership (4)
December 09 2021 - 06:16PM
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 * House
Rebecca W |
2. Issuer Name and Ticker or Trading
Symbol ROCKWELL AUTOMATION, INC [ ROK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
SVP, CLO and Secretary |
(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
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) |
$350.76 |
12/7/2021 |
|
A (1) |
|
6159 |
|
12/7/2022 (2) |
12/7/2031 |
Common Stock |
6159.0 |
$0 |
6159 |
D |
|
Restricted Stock Units |
(3) |
12/7/2021 |
|
A (1) |
|
1540 |
|
12/7/2022 (4) |
12/7/2024 |
Common Stock |
1540.0 |
$0 |
1540 |
D |
|
Common Stock Share
Equivalents |
(5) |
|
|
|
|
|
|
(6) |
(6) |
Common Stock |
24.96 |
|
24.96 (7) |
I |
NQ 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
|
Director |
10% Owner |
Officer |
Other |
House Rebecca W
1201 SOUTH SECOND STREET
MILWAUKEE, WI 53204 |
|
|
SVP, CLO and Secretary |
|
Signatures
|
Karen A. Balistreri, Attorney-in-fact for Rebecca
W. House |
|
12/9/2021 |
**Signature of
Reporting Person |
Date |
Rockwell Automation (NYSE:ROK)
Historical Stock Chart
From May 2022 to Jun 2022
Rockwell Automation (NYSE:ROK)
Historical Stock Chart
From Jun 2021 to Jun 2022