[144] Rockwell Automation, Inc. SEC Filing

Rhea-AI Filing Summary

Rockwell Automation, Inc. (ROK) notice under Rule 144 reports a proposed sale of 1,435 common shares through Charles Schwab & Co., Inc. on 08/29/2025 with an aggregate market value of $499,500.00. The filing states these shares were acquired on 06/01/2023 as the lapse of restricted stock granted by Rockwell Automation and are being sold as equity compensation.

The filer certifies there were no other securities sold in the past three months and attests that they are not aware of any undisclosed material adverse information about the issuer. The notice contains standard Rule 144 information: broker, number of shares, outstanding shares (112,434,397), acquisition details, and the signature/representation language required by the form.

Positive

• Complete Rule 144 disclosure including broker, acquisition details, sale date, and outstanding share count
• Securities originated from equity compensation (restricted stock lapse), indicating an expected, non-extraordinary source
• No other sales in the past three months, simplifying aggregation considerations under Rule 144

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider sale of a small block of shares from restricted stock lapse; appears non-material to company valuation.

The filing documents a planned sale of 1,435 common shares acquired via restricted stock lapse on 06/01/2023, executed through Charles Schwab on 08/29/2025, with an aggregate value of $499,500.00 and total shares outstanding of 112,434,397. The filer reports no other sales in the prior three months and makes the standard attestation about material non-public information. From a market-impact perspective, the position size disclosed here is immaterial relative to the outstanding share count and contains no new operational or financial information about Rockwell Automation.

Corporate Governance Expert

TL;DR: Compliance-oriented Rule 144 notice reflecting routine disposition of equity compensation; procedural safeguards appear observed.

The form includes required elements: acquisition date, nature of acquisition (restricted stock lapse), broker details, planned sale date, and the standard representation regarding undisclosed material information. The disclosure that no securities were sold in the past three months and the inclusion of signature/attestation language indicate adherence to procedural requirements for Rule 144 notices. The filing raises no governance concerns based on the disclosed facts alone.

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	1435	499500.00	112434397	08/29/2025	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	06/01/2023	Restricted Stock Lapse	Rockwell Automation, Inc.			1435	06/01/2023	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

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 the Form 144 filed by Rockwell Automation (ROK) report?

The form reports a proposed sale of 1,435 common shares acquired via restricted stock lapse on 06/01/2023, to be sold through Charles Schwab on 08/29/2025, with aggregate value $499,500.00.

How many Rockwell Automation shares are outstanding according to the filing?

The filing lists 112,434,397 shares outstanding.

Was any other sale reported by the filer in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months.

What was the nature of acquisition for the shares to be sold?

The shares were acquired through a restricted stock lapse from Rockwell Automation and are characterized as equity compensation.

Which broker is handling the proposed sale?

The broker named in the filing is Charles Schwab & Co., Inc. located at 3000 Schwab Way, Westlake, TX 76262.