0001024478-23-000207.txt : 20231211 0001024478-23-000207.hdr.sgml : 20231211 20231211210412 ACCESSION NUMBER: 0001024478-23-000207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231207 FILED AS OF DATE: 20231211 DATE AS OF CHANGE: 20231211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riesterer Terry L. CENTRAL INDEX KEY: 0001794668 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12383 FILM NUMBER: 231479799 MAIL ADDRESS: STREET 1: 1201 S. 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWELL AUTOMATION, INC CENTRAL INDEX KEY: 0001024478 STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829] IRS NUMBER: 251797617 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 1201 SOUTH 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 BUSINESS PHONE: 414-382-2000 MAIL ADDRESS: STREET 1: 1201 SOUTH 2ND STREET CITY: MILWAUKEE STATE: WI ZIP: 53204 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL AUTOMATION INC DATE OF NAME CHANGE: 20061109 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL AUTOMATION INC DATE OF NAME CHANGE: 20020507 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWELL INTERNATIONAL CORP DATE OF NAME CHANGE: 19970106 4 1 wk-form4_1702346641.xml FORM 4 X0508 4 2023-12-07 0 0001024478 ROCKWELL AUTOMATION, INC ROK 0001794668 Riesterer Terry L. 1201 SOUTH SECOND STREET MILWAUKEE WI 53204 0 1 0 0 Vice President and Controller 1 Common Stock 2023-12-07 4 M 0 86 0 A 1859 D Common Stock 2023-12-08 4 S 0 26 279.1165 D 1833 D Common Stock 2023-12-09 4 M 0 154 0 A 1987 D Common Stock 2023-12-10 4 M 0 99 0 A 2086 D Common Stock 2023-12-10 4 M 0 299 0 A 2385 D Common Stock 2023-12-11 4 S 0 146 279.6201 D 2239 D Common Stock 2023-12-11 4 S 0 30 280.2217 D 2209 D Common Stock 607.67 I By Savings Plan Restricted Stock Units 2023-12-07 4 M 0 86 0 D 2022-12-07 2024-12-07 Common Stock 86 86 D Restricted Stock Units 2023-12-09 4 M 0 154 0 D 2023-12-09 2025-12-09 Common Stock 154 308 D Restricted Stock Units 2023-12-10 4 M 0 99 0 D 2021-12-10 2023-12-10 Common Stock 99 0 D Performance Shares 2023-12-10 4 M 0 299 0 D 2023-12-10 2023-12-10 Common Stock 299 0 D Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 12/7/2023. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $278.9550 to $279.62. 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. Sale of shares pursuant to Rule 10b5-1 plan entered into on 2/23/2023 to cover taxes due on restricted stock units that vested on 12/9/2023 and 12/10/2023 and performance shares that vested on 12/10/2023. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $279.03 to $279.80. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $280.20 to $280.2325. 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. Since the date of the last report of common stock 104 shares that were reported as indirectly held in the Company Savings Plan were rolled over into a self-directed IRA and are now reported as directly owned. 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 11/1/2023. 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. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Danielle White, Attorney-in-fact for Terry L. Riesterer 2023-12-11