Rockwell Automation (NYSE: ROK) files Form 144 for planned sale; broker involved

Rhea-AI Filing Summary

Rockwell Automation submitted a Form 144 notice reporting proposed sales of equity linked to compensation and an associated broker payment. The filing lists 1,100 shares tied to PSU/RSU dated 12/07/2024 and a broker payment of 2,924 related to a cashless exercise, with an action date of 05/07/2026.

Key Figures

PSU/RSU shares listed: 1,100 shares Broker payment for cashless exercise: 2,924 Listed numeric entry: 1,818,722.00

3 metrics

PSU/RSU shares listed 1,100 shares PSU/RSU dated 12/07/2024

Broker payment for cashless exercise 2,924 Broker payment recorded on 05/07/2026

Listed numeric entry 1,818,722.00 Numeric field visible on the form (exact label not provided in excerpt)

Key Terms

PSU / RSU, cashless exercise, Form 144

3 terms

PSU / RSU financial

"Common | 12/07/2024 | PSU / RSU - See Remarks"

cashless exercise financial

"05/07/2026 | Employee Stock Option Exercise | ... | Broker Payment for Cashless Exercise"

A cashless exercise is a way for an option holder to convert stock options into actual shares without paying the purchase price in cash; instead they immediately give up a portion of the newly issued shares to cover the cost and any withholding taxes. Investors care because this process increases the number of shares available and can slightly dilute existing holdings, while also signaling how insiders or employees are realizing compensation without needing cash — similar to paying for a purchase by handing over part of what you just bought.

Form 144 regulatory

"CONTENT METADATA: "form_type": "144""

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

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	4024	1818722.00	111273953	05/07/2026	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	12/07/2024	PSU / RSU - See Remarks	Rockwell Automation, Inc.			1100	12/07/2024	Equity Compensation
Common	05/07/2026	Employee Stock Option Exercise	Rockwell Automation, Inc.			2924	05/07/2026	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

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 a notice of proposed resale of equity instruments. The filing lists 1,100 shares linked to PSU/RSU and a 2,924 broker payment related to a cashless exercise dated 05/07/2026.

Does the Form 144 indicate who is selling ROK shares?

The excerpt names Charles Schwab & Co., Inc. as the broker on the form. It does not identify the selling individual in the provided excerpt and shows brokerage involvement for the cashless exercise.

How many shares tied to equity compensation are shown in the filing?

The filing shows 1,100 shares associated with PSU/RSU from 12/07/2024. These are listed under equity compensation with the action date 05/07/2026.

What is the meaning of the listed 'broker payment for cashless exercise'?

It indicates a broker handled a cashless exercise and recorded 2,924 as the broker payment amount. This reflects transaction processing linked to converting options or RSUs on 05/07/2026.