Statement of Changes in Beneficial Ownership (4)
December 10 2020 - 4:07PM
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) Senior Vice President & CFO |
(Last)
(First)
(Middle)
1201 SOUTH SECOND STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/8/2020 |
(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 | | | | | | | | 671.8984 | I (1) | By Savings Plan |
Common Stock | 12/8/2020 | | M | | 335 | A | $0 | 9198 | D | |
Common Stock | 12/9/2020 | | S(3) | | 33 | D | $250.957 (4) | 9165 | D | |
Common Stock | 12/9/2020 | | S(3) | | 145 | D | $249.5476 (5) | 9020 | D (6) | |
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 |
Performance Shares | (2) | 12/8/2020 | | M | | | 335 | 12/8/2020 | 12/8/2020 | Common Stock | 335 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Includes shares represented by Company stock fund units acquired under the Company 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. |
(2) | Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). |
(3) | Sale of shares pursuant to Rule 10b5-1 trading plan entered into 5/1/2020 to cover taxes due on restricted stock and performance shares that vested on 12/8/2020. |
(4) | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $250.9550 to $251.0201. 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) | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $249.47 to $249.62. 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. |
(6) | Includes 697 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. 1201 SOUTH SECOND STREET MILWAUKEE, WI 53204 |
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| Senior Vice President & CFO |
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Signatures
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Karen A. Balistreri, Attorney-in-Fact for Steven W. Etzel | | 12/10/2020 |
**Signature of Reporting Person | Date |
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