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Rockwell Automation SVP holds 1,044 common shares

Some performance-share awards vest if Reynolds remains employed on their stated dates, subject to limited exceptions.

(Moderate)

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Form Type
3

Rhea-AI Filing Summary

At Rockwell Automation, Inc., SVP Lifecycle Services Jordan Canfield Reynolds reported 1,044 directly held common shares. Listed employee stock options give him the right to buy 1,921 shares at an exercise price of $402.22, 559 at $279.50, and 1,284 at $297.10. The holdings also include restricted stock units and performance shares, with continued-employment vesting conditions for specified performance-share awards.

Insider Reynolds Jordan Canfield
Role SVP Lifecycle Services
Type Security Shares Price Value
holding Employee Stock Option (Right to Buy) F1 -- -- --
holding Employee Stock Option (Right to Buy) F1 -- -- --
holding Employee Stock Option (Right to Buy) F1 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Performance Shares F5, F4 -- -- --
holding Performance Shares F5, F6 -- -- --
holding Performance Shares F5, F7 -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Employee Stock Option (Right to Buy) — 3,764 contracts (Direct); Restricted Stock Units — 8,844 contracts (Direct); Performance Shares — 1,138 contracts (Direct); Common Stock — 1,044 shares (Direct)
Footnotes (7)
  1. F1. The options vest in three substantially equal annual installments beginning on the date exercisable.
  2. F2. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
  3. F3. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
  4. F4. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 5, 2027, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
  5. F5. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
  6. F6. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 8, 2028, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
  7. F7. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 4, 2026, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
Direct common shares 1,044 shares Reported direct holding
Option underlying shares 1,921 shares Exercise price $402.22 per share; expiration December 8, 2035
Option underlying shares 559 shares Exercise price $279.50 per share; expiration December 4, 2033
Option underlying shares 1,284 shares Exercise price $297.10 per share; expiration December 5, 2034
Performance shares 413 shares Vesting date December 5, 2027, subject to continued employment and limited exceptions
Performance shares 508 shares Vesting date December 8, 2028, subject to continued employment and limited exceptions
Performance shares 217 shares Vesting date December 4, 2026, subject to continued employment and limited exceptions
Employee Stock Option (Right to Buy) financial
"Employee Stock Option (Right to Buy)"
Restricted Stock Units financial
"The restricted stock units vest in three substantially equal annual installments"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Performance Shares financial
"Each performance share represents a contingent right to receive one share"
Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.
contingent right financial
"a contingent right to receive one share of Rockwell Automation common stock"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What vesting conditions apply to ROK performance shares?

Each performance share represents a contingent right to receive one share of Company common stock or the cash equivalent. The 413-share award vests December 5, 2027, if Reynolds remains an employee on that date, subject to limited exceptions; the 508-share award has the same condition for December 8, 2028, and the 217-share award for December 4, 2026.

How do ROK restricted stock units vest?

The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.

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

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Learn about SEC filing dates
SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Reynolds Jordan Canfield

(Last)(First)(Middle)
1201 SOUTH SECOND STREET

(Street)
MILWAUKEE WISCONSIN 53204

(City)(State)(Zip)

UNITED STATES

(Country)
2. Date of Event Requiring Statement (Month/Day/Year)
10/01/2026
3. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC [ ROK ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP Lifecycle Services
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock1,044D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (Right to Buy)12/08/2026(1)12/08/2035Common Stock1,921$402.22D
Employee Stock Option (Right to Buy)12/04/2024(1)12/04/2033Common Stock559$279.5D
Employee Stock Option (Right to Buy)12/05/2025(1)12/05/2034Common Stock1,284$297.1D
Restricted Stock Units11/28/2024(2)11/28/2026Common Stock620$0(3)D
Restricted Stock Units12/04/2024(2)12/04/2026Common Stock58$0(3)D
Restricted Stock Units04/09/2025(2)04/09/2027Common Stock1,163$0(3)D
Restricted Stock Units12/05/2025(2)12/05/2027Common Stock270$0(3)D
Restricted Stock Units07/14/2026(2)07/14/2028Common Stock2,915$0(3)D
Restricted Stock Units12/08/2026(2)12/08/2028Common Stock560$0(3)D
Restricted Stock Units06/09/2027(2)06/09/2029Common Stock3,258$0(3)D
Performance Shares12/05/2027(4)12/05/2027Common Stock413$0(5)D
Performance Shares12/08/2028(6)12/08/2028Common Stock508$0(5)D
Performance Shares12/04/2026(7)12/04/2026Common Stock217$0(5)D
Explanation of Responses:
1. The options vest in three substantially equal annual installments beginning on the date exercisable.
2. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
3. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
4. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 5, 2027, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
5. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
6. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 8, 2028, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
7. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 4, 2026, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
Remarks:
Exhibit 24 - Power of Attorney
Danielle White, Attorney-In-Fact for Jordan C. Reynolds10/05/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

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