Moret Blake D.'s Form 4 filing
Rockwell Automation, Inc (ROK) · filed Dec 11, 2023
- Accession no.
- 0001024478-23-000191
- Filed
- Dec 11, 2023
- Trade date
- Dec 7-11, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 7 non-derivative transactions and 4 derivative transactions. Open-market sales total $2.18M. It was filed 4 days after the trade.
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 |
|---|---|
| Moret Blake D.CIK 0001515154 | Director, Officer (President and CEO) |
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, 2023 | Common Stock | MOption exerciseAcquired | +2,566 | $0.00 | $0 | 66,991 | Direct | |
| Dec 8, 2023 | Common Stock | SSaleDisposed | −1,143 | $278.73F2 | −$318,588.39 | 65,848 | Direct | |
| Dec 9, 2023 | Common Stock | MOption exerciseAcquired | +3,849 | $0.00 | $0 | 69,697 | Direct | |
| Dec 10, 2023 | Common Stock | MOption exerciseAcquired | +2,635 | $0.00 | $0 | 72,332 | Direct | |
| Dec 10, 2023 | Common Stock | MOption exerciseAcquired | +8,027 | $0.00 | $0 | 80,359 | Direct | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −5,739 | $279.62F4 | −$1,604,739.18 | 74,620 | Direct | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −905 | $280.09F5 | −$253,481.45 | 73,715 | 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, 2023 | Common Stock | MOption exerciseDisposed | −2,566 | $0.00 | $0 | 2,566 | Direct | |
| Dec 9, 2023 | Common Stock | MOption exerciseDisposed | −3,849 | $0.00 | $0 | 7,698 | Direct | |
| Dec 10, 2023 | Common Stock | MOption exerciseDisposed | −2,635 | $0.00 | $0 | 0 | Direct | |
| Dec 10, 2023 | Common Stock | MOption exerciseDisposed | −8,027 | $0.00 | $0 | 0 | Direct |
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.
- F2
Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $278.4301 to $278.8050. 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.
- F4
Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $279.01 to $279.94. 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
Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $280.02 to $280.30. 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.