Rockwell Automation (NYSE: ROK) affiliate files Form 144 listing share lots

Rhea-AI Filing Summary

Rockwell Automation reported proposed sales of common stock in a Form 144 by affiliated holders. The notice lists multiple equity items tied to restricted stock lapses (examples: 108, 31, 45, 45, 32, 43, 50 shares) and an Employee Stock Option Exercise of 700 shares with a broker payment for a cashless exercise on 05/20/2026. The filing lists Charles Schwab & Co., Inc. as broker.

Insights

Securities Counsel

Routine affiliate resale notice listing small lots and a cashless exercise.

Form 144 here records proposed dispositions tied to equity compensation events and an option exercise. The filing lists specific share lots and a 05/20/2026 broker-facilitated cashless exercise for 700 shares.

These notices are procedural; actual sales occur under applicable resale exemptions and market conditions. Subsequent trade reports or broker confirmations would show execution details.

Key Figures

Restricted stock lapse examples: 108; 31; 45; 45; 32; 43; 50 shares Option exercise (cashless): 700 shares Broker: Charles Schwab & Co., Inc.

3 metrics

Restricted stock lapse examples 108; 31; 45; 45; 32; 43; 50 shares listed individual lapse events with dates in 2022 and 2024

Option exercise (cashless) 700 shares Employee Stock Option Exercise on 05/20/2026 with broker payment

Broker Charles Schwab & Co., Inc. Named broker for the proposed transaction

Key Terms

Restricted Stock Lapse, Employee Stock Option Exercise, Broker Payment for Cashless Exercise

3 terms

Restricted Stock Lapse financial

"Restricted Stock Lapse | Rockwell Automation, Inc. | ... | 108"

Employee Stock Option Exercise financial

"Employee Stock Option Exercise | Rockwell Automation, Inc | ... | 700"

Broker Payment for Cashless Exercise financial

"05/20/2026 | Employee Stock Option Exercise | ... | Broker Payment for Cashless Exercise"

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	1054	449025.00	111273953	05/20/2026	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	12/05/2022	Restricted Stock Lapse	Rockwell Automation, Inc.			108	12/05/2022	Equity Compensation
Common	12/07/2022	Restricted Stock Lapse	Rockwell Automation, Inc.			31	12/07/2022	Equity Compensation
Common	12/10/2022	Restricted Stock Lapse	Rockwell Automation, Inc.			45	12/10/2022	Equity Compensation
Common	12/04/2024	Restricted Stock Lapse	Rockwell Automation, Inc			45	12/04/2024	Equity Compensation
Common	12/07/2024	Restricted Stock Lapse	Rockwell Automation, Inc			32	12/07/2024	Equity Compensation
Common	12/09/2024	Restricted Stock Lapse	Rockwell Automation, Inc			43	12/09/2024	Equity Compensation
Common	12/09/2025	Restricted Stock Lapse	Rockwell Automation, Inc			50	12/09/2025	Equity Compensation
Common	05/20/2026	Employee Stock Option Exercise	Rockwell Automation, Inc			700	05/20/2026	Broker Payment for Cashless Exercise

* 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

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Rockwell Automation's (ROK) Form 144 report?

It reports proposed sales of common shares by affiliates, listing restricted stock lapses and an option exercise. The excerpt shows multiple small lots (e.g., 108, 31, 45 shares) and a broker-handled cashless exercise of 700 shares on 05/20/2026.

Does Form 144 mean the shares have been sold?

No. Form 144 is a notice of proposed sale under resale rules, not proof of sale. Actual execution and settlement happen later; trade confirmations or subsequent filings would show completed transactions and quantities sold.

Who is the broker handling the transaction in this filing?

The filing lists Charles Schwab & Co., Inc. as the broker. The excerpt also indicates the cashless option exercise used the broker to facilitate the transaction on 05/20/2026.

What types of equity events are cited in the Form 144 excerpt?

The excerpt lists multiple Restricted Stock Lapse events and one Employee Stock Option Exercise with a broker payment for a cashless exercise. Specific lot sizes are shown for each restricted stock lapse and 700 shares for the exercise.