[144] Rockwell Automation, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Rockwell Automation (ROK): An individual proposes to sell 3,000 common shares through Fidelity Brokerage Services on the NYSE with an aggregate market value of $1,052,370. The company has 112,896,809 shares outstanding, and the sale is scheduled approximately for 08/26/2025. All 3,000 shares were originally acquired as stock awards from the issuer on eight vesting dates between 2015 and 2019 and were compensated rather than purchased. The filer reports no securities sold in the past three months and affirms they are unaware of any undisclosed material adverse information about the issuer.

Positive

• Full provenance disclosed: All 3,000 shares trace to issuer stock awards between 2015 and 2019.
• No recent sales: The filer reports no securities sold in the past three months, increasing transparency.
• Broker and exchange identified: Sale to be executed through Fidelity on the NYSE, providing execution transparency.
• Insider certification provided: Filer represents no undisclosed material adverse information, consistent with Rule 144 practice.

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider sale of a very small ownership stake; unlikely to be materially market-moving.

The notice indicates a proposed sale of 3,000 shares valued at $1,052,370 against 112.9 million shares outstanding, representing roughly 0.003% of the outstanding common stock. The shares were issued as compensation across multiple vesting dates from 2015 to 2019, which suggests the sale is disposing of vested awards rather than signaling new external liquidity events. No sales in the prior three months reduces the appearance of a pattern of rapid disposition. From a market-impact perspective, this filing alone is not material for valuation or control analyses.

Corporate Governance Expert

TL;DR: Disclosure aligns with Rule 144 requirements and includes required certifications; governance risk appears low from this filing.

The form discloses acquisition provenance (issuer stock awards) and the broker handling the sale, meeting Rule 144 notice elements. The signer attests to lacking undisclosed material adverse information and notes trading-plan language, satisfying common governance and insider-trading protocol statements. Because the sold amount equals the total of listed vested awards and no recent sales were reported, this looks like routine executive compensation monetization rather than governance red flags.

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	FIDELITY BROKERAGE SERVICES LLC 245 Summer Street BOSTON MA 02110	3000	1052370.00	112896809	08/26/2025	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	02/05/2019	Stock Award	ISSUER			166	02/05/2019	Compensation
Common	10/01/2018	Stock Award	ISSUER			506	10/01/2018	Compensation
Common	02/06/2018	Stock Award	ISSUER			213	02/06/2018	Compensation
Common	10/02/2017	Stock Award	ISSUER			512	10/02/2017	Compensation
Common	02/07/2017	Stock Award	ISSUER			268	02/07/2017	Compensation
Common	10/01/2016	Stock Award	ISSUER			726	10/01/2016	Compensation
Common	02/07/2016	Stock Award	ISSUER			432	02/07/2016	Compensation
Common	10/01/2015	Stock Award	ISSUER			177	10/01/2015	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

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 for Rockwell Automation (ROK) disclose?

The notice discloses a proposed sale of 3,000 common shares via Fidelity on the NYSE valued at $1,052,370; the shares were acquired as stock awards from 2015–2019.

How large is the proposed sale relative to ROK's outstanding shares?

The filing lists 112,896,809 shares outstanding; 3,000 shares equal about 0.003% of outstanding common stock.

Were the shares purchased or issued as compensation?

All listed shares were issued as stock awards (compensation) on specific dates between 2015 and 2019.

Did the filer report any securities sold in the past three months?

The filing states Nothing to Report for securities sold during the past three months.

When is the approximate sale date listed on the Form 144?

The form lists an approximate date of sale of 08/26/2025.