Kulaszewicz Frank C's Form 4/A amendment
AmendedRockwell Automation, Inc (ROK) · filed Nov 21, 2023
- Accession no.
- 0001024478-23-000132
- Filed
- Nov 21, 2023
- Trade date
- Dec 7-8, 2022
- Filing delay
- 349 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Dec 8, 2022
This filing lists 3 non-derivative transactions and 1 derivative transaction. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $823.4K. It was filed 349 days after the trade.
This amendment restates part of 0001024478-22-000191 (filed Dec 27, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kulaszewicz Frank CCIK 0001516418 | Officer (Senior Vice President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 7, 2022 | Common Stock | MOption exerciseAcquired | +370 | $0.00 | $0 | 18,236 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −2,941 | $255.71F2 | −$752,043.11 | 15,295 | Direct | |
| Dec 8, 2022 | Common Stock | SSaleDisposed | −164 | $256.72F3,F4 | −$42,102.08 | 15,131 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 7, 2022 | Common Stock | MOption exerciseDisposed | −370 | $0.00 | $0 | 742 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001024478-22-000127 (filed Dec 8, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2022 | Common Stock | SSaleDisposed | −114 | $256.33F5 | −$29,221.62 | 15,091 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F5
Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $256.31 to $256.34. 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.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/28/2022.
- F2
Amended to correct plan administrator error in reporting to the company the number of shares sold and sale price, as previously reported in amendment dated December 27, 2022.
Referenced by the price of 1 transaction in Table I.
- F3
Amended to correct plan administrator error in reporting to the company the number of shares sold and sale price, being reported pursuant to this amendment.
Referenced by the price of 1 transaction in Table I.
- F4
Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $256.69 to $256.9401. 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.
Referenced by the price of 1 transaction in Table I.
- F5
As a result of the amendment to the number of shares sold, the shares reported in column 5 has been updated in this filing. In the filings on 12/13/22, 12/15/22, 2/28/2023, and 6/13/2023 for Mr. Kulaszewicz column 5 should be read to include these additional shares.
- F6
Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2022.
- F7
Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
- F8
The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.