Form 4 for ROK Rockwell Automation
Accepted 2023-12-11 00:00:00 ET · period of report 2023-12-07 · accession 0001024478-23-000203 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-12-11 | 2023-12-08+ | ROK | Woods Isaac | VP, Treas | S - Sale+OE | $279.95 | -152 | 1,272 | -11% | -$42.6K |
| DM | 2023-12-11 | 2023-12-07+ | ROK | Woods Isaac | VP, Treas | M - OptEx | $0.00 | +474 | 1,273 | +59% | $0 |
| DM | 2023-12-11 | 2023-12-07+ | ROK | Woods Isaac | VP, Treas | M - OptEx | $0.00 | -474 | 86 | -85% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-12-11 | S | D | 123 | $280.15 | 1,149 | D | — | — | (F4) Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $280.13 to $280.24. 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. |
| 2 | Common | Common Stock | 2023-12-10 | M | A | 59 | $0.00 | 1,098 | D | — | — | |
| 3 | Common | Common Stock | 2023-12-07 | M | A | 86 | $0.00 | 913 | D | — | — | |
| 4 | Common | Common Stock | 2023-12-08 | S | D | 28 | $279.10 | 885 | D | — | — | (F2) Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $278.78 to $279.5801. 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. |
| 5 | Common | Common Stock | 2023-12-09 | M | A | 154 | $0.00 | 1,039 | D | — | — | |
| 6 | Common | Common Stock | 2023-12-10 | M | A | 175 | $0.00 | 1,273 | D | — | — | |
| 7 | Common | Common Stock | 2023-12-11 | S | D | 1 | $279.09 | 1,272 | D | — | — | |
| 8 | Derivative | Performance Shares | 2023-12-10 | M | D | 175 | $0.00 | 0 | D | — · 2023-12-10 to 2023-12-10 | 175 Common Stock | (F8) Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). |
| 9 | Derivative | Restricted Stock Units | 2023-12-10 | M | D | 59 | $0.00 | 0 | D | — · 2021-12-10 to 2023-12-10 | 59 Common Stock | (F6) Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. (F7) The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
| 10 | Derivative | Restricted Stock Units | 2023-12-09 | M | D | 154 | $0.00 | 308 | D | — · 2023-12-09 to 2025-12-09 | 154 Common Stock | (F6) Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. (F7) The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
| 11 | Derivative | Restricted Stock Units | 2023-12-07 | M | D | 86 | $0.00 | 86 | D | — · 2022-12-07 to 2024-12-07 | 86 Common Stock | (F6) Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. (F7) The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |