Rockwell Automation (NYSE: ROK) officer sets $256K stock sale

Rhea-AI Filing Summary

ROCKWELL AUTOMATION, INC (ROK) received a notice that officer Christian E. Rothe plans to sell 590 shares of common stock under Rule 144 through Charles Schwab & Co., Inc. The planned sale date is 08/20/2026, following a restricted stock lapse as equity compensation.

The shares are covered by a Rule 10b5-1 trading plan dated 11/25/2025, which is represented as being adopted while the seller lacked material non-public information. The filing lists an approximate market value of $256,237.00 for the shares.

Key Figures

Shares to be sold: 590 shares of common stock Approximate market value: $256,237.00 Planned sale date: 08/20/2026 +1 more

4 metrics

Shares to be sold 590 shares of common stock Planned sale under Rule 144 by officer Christian E. Rothe

Approximate market value $256,237.00 Value of 590 ROK common shares listed in the Form 144

Planned sale date 08/20/2026 Date shown for the Rule 144 sale and restricted stock lapse

Rule 10b5-1 plan date 11/25/2025 Adoption date of the trading plan covering these shares

Key Terms

Rule 144, Rule 10b5-1 trading plan, Restricted Stock Lapse, equity compensation

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Rule 10b5-1 trading plan regulatory

"being sold pursuant to a 10b51 trading plan dated 11 25 2025"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

Restricted Stock Lapse financial

"Common | 08/20/2026 | Restricted Stock Lapse - See Remarks"

equity compensation financial

"590 | 08/20/2026 | Equity Compensation"

Equity compensation is pay given to employees, executives or contractors in the form of company ownership—such as stock, stock options or restricted shares—rather than just cash. It matters to investors because it can align workers' incentives with shareholders (like paying someone in slices of the same pie they help grow), but it also increases the number of shares outstanding and company expenses, affecting ownership percentages and earnings per share.

FAQ

What insider transaction does this Form 144 report for ROK?

It reports that officer Christian E. Rothe intends to sell 590 shares of ROCKWELL AUTOMATION, INC common stock under Rule 144, with the planned sale tied to a restricted stock lapse as equity compensation on 08/20/2026.

What is the approximate market value of the ROK shares to be sold?

The notice states an approximate market value of $256,237.00 for the 590 shares of ROCKWELL AUTOMATION, INC common stock that are planned to be sold through Charles Schwab & Co., Inc.

When is the planned sale date for the ROK shares under this Form 144?

The planned sale date for the 590 shares of ROCKWELL AUTOMATION, INC common stock is 08/20/2026, as listed in the Form 144 securities information and securities-to-be-sold sections.

Is the ROK insider sale under a Rule 10b5-1 trading plan?

Yes. The Form 144 states the shares are being sold pursuant to a Rule 10b5-1 trading plan dated 11/25/2025, which is represented as intended to comply with Rule 10b5-1 and the lack of material non-public information at the plan’s adoption.

What is the source of the ROK shares being sold by Christian E. Rothe?

The Form 144 describes the transaction as a Restricted Stock Lapse related to equity compensation from Rockwell Automation, Inc, indicating the shares arise from previously granted restricted stock that has vested.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/20/2026 - 04:03 PM Accepted by SEC EDGAR 08/20/2026 - 04:02 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001523212
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ROCKWELL AUTOMATION, INC
SEC File Number	001-12383
Address of Issuer	1201 SOUTH 2ND STREET MILWAUKEE WISCONSIN 53204
Phone	414-382-2000
Name of Person for Whose Account the Securities are To Be Sold	Rothe Christian E
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	590	256237.00	111048676	08/20/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/20/2026	Restricted Stock Lapse - See Remarks	Rockwell Automation, Inc.			590	08/20/2026	Equity Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	The Shares covered by this form 144 are being sold pursuant to a 10b51 trading plan dated 11 25 2025 which plan is intended to comply with Rule 10b51 and the representation regarding seller's lack of knowledge of material non-public information as of the date of the trading plan.
Date of Notice	08/20/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/25/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Christian E Rothe
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)