Statement of Changes in Beneficial Ownership (4)
December 14 2021 - 04:43PM
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 * MILLER
JOHN M |
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)
VP and Chief IP Counsel |
(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)
|
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 |
Common Stock |
12/10/2021 |
|
M |
|
65 |
A |
$0 |
4529 |
D |
|
Common Stock |
12/13/2021 |
|
S(1) |
|
21 |
D |
$349.9976 (2) |
4508 (3) |
D |
|
Common Stock |
|
|
|
|
|
|
|
445.06 (4) |
I |
By Savings Plan |
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 |
Restricted Stock Units |
(5) |
12/10/2021 |
|
M |
|
|
65 |
12/10/2021 (6) |
12/10/2023 |
Common Stock |
65.0 |
$0 |
130 |
D |
|
Explanation of
Responses: |
(1) |
Sale of shares pursuant to a
10b5-1 trading plan entered into on 5/24/2021 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
$349.99 to $350.1501. 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 130 shares held by
the Company to implement restrictions on transfer unless and until
certain conditions are met. |
(4) |
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. |
(5) |
Each restricted stock unit
represents a contingent right to receive one share of Rockwell
Automation common stock. |
(6) |
The restricted stock units
vest in three substantially equal annual installments beginning on
the date exercisable. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
MILLER JOHN M
1201 SOUTH SECOND STREET
MILWAUKEE, WI 53204 |
|
|
VP and Chief IP Counsel |
|
Signatures
|
Karen A. Balistreri, Attorney-in-Fact for John M.
Miller |
|
12/14/2021 |
**Signature of
Reporting Person |
Date |
Rockwell Automation (NYSE:ROK)
Historical Stock Chart
From Apr 2022 to May 2022
Rockwell Automation (NYSE:ROK)
Historical Stock Chart
From May 2021 to May 2022