Etzel Steven W. 4
4 · ROCKWELL AUTOMATION, INC · Filed Dec 10, 2020
Insider Transaction Report
Form 4
Etzel Steven W.
VP and Treasurer
Transactions
- Sale
Common Stock
2020-12-09$249.55/sh−145$36,184→ 9,020 total - Exercise/Conversion
Performance Shares
2020-12-08−335→ 0 totalFrom: 2020-12-08Exp: 2020-12-08→ Common Stock (335 underlying) - Sale
Common Stock
2020-12-09$250.96/sh−33$8,282→ 9,165 total - Exercise/Conversion
Common Stock
2020-12-08+335→ 9,198 total
Holdings
- 671.898(indirect: By Savings Plan)
Common Stock
Footnotes (6)
- [F1]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.
- [F2]Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]Includes 697 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.