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  4. [Form 4] ROCKWELL AUTOMATION, INC Insider Trading Activity

Rockwell Automation (ROK) CEO reports RSU vesting and 1,762-share sale in Form 4

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Rockwell Automation, Inc. President and CEO Blake D. Moret reported equity transactions involving company stock. On 12/04/2025 and 12/05/2025, a family trust associated with him acquired 3,936 and 3,702 shares of common stock at an exercise price of $0 through the vesting and settlement of restricted stock units. On 12/05/2025, the trust sold 1,660 shares at a weighted average price of $402.873 and 102 shares at a weighted average price of $403.3822 under a Rule 10b5-1 trading plan to cover taxes on vested awards. Following these transactions, the filing reports 89,749 shares of common stock held indirectly through the family trust, plus additional stock fund units held in a company savings plan and nonqualified savings plan that track the value of Rockwell Automation stock.

Positive

  • None.

Negative

  • None.
Insider Moret Blake D.
Role President and CEO
Sold 1,762 shs ($710K)
Type Security Shares Price Value
Exercise Restricted Stock Units 3,702 $0.00 --
Exercise Common Stock 3,702 $0.00 --
Sale Common Stock 1,660 $402.873 $669K
Sale Common Stock 102 $403.3822 $41K
Exercise Restricted Stock Units 3,936 $0.00 --
Exercise Common Stock 3,936 $0.00 --
holding Common Stock Share Equivalents -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 7,406 shares (Direct); Common Stock — 91,511 shares (Indirect, By Family Trust); Common Stock Share Equivalents — 491.872 shares (Indirect, Nonqual. Savings Plan)
Footnotes (1)
  1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 5/30/2025 to cover taxes due on restricted stock units that vested on 12/4/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.32 to $403.24 The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.34 to $403.62 The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price. Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 9/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. Each unit is the economic equivalent of one share of Company common stock. The share equivalents are payable in cash upon retirement or after termination of employment. Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 9/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Moret Blake D.
(Last) (First) (Middle)
1201 SOUTH SECOND STREET
(Street)
MILWAUKEE WI 53204
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC [ ROK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
12/04/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/04/2025 M 3,936 A $0 87,809 I By Family Trust
Common Stock 12/05/2025 M 3,702 A $0 91,511 I By Family Trust
Common Stock 12/05/2025 S(1) 1,660 D $402.873(2) 89,851 I By Family Trust
Common Stock 12/05/2025 S(1) 102 D $403.3822(3) 89,749 I By Family Trust
Common Stock 165.5327(4) I By Savings Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (5) 12/04/2025 M 3,936 12/04/2024(6) 12/04/2026 Common Stock 3,936 $0 3,936 D
Restricted Stock Units (5) 12/05/2025 M 3,702 12/05/2025(6) 12/05/2027 Common Stock 3,702 $0 7,406 D
Common Stock Share Equivalents (7) (8) (8) Common Stock 491.8722 491.8722(9) I Nonqual. Savings Plan
Explanation of Responses:
1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 5/30/2025 to cover taxes due on restricted stock units that vested on 12/4/2025.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.32 to $403.24 The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
3. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.34 to $403.62 The reporting person undertakes to provide to the Company, any shareowners of the Company and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price.
4. Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 9/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
5. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
6. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
7. Each unit is the economic equivalent of one share of Company common stock.
8. The share equivalents are payable in cash upon retirement or after termination of employment.
9. Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 9/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan.
Remarks:
Danielle White, Attorney-in-Fact for Blake D. Moret 12/05/2025
** Signature of Reporting Person Date
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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Rockwell Automation (ROK) report in this Form 4?

The filing reports that President and CEO Blake D. Moret, through a family trust, acquired Rockwell Automation common stock via vesting restricted stock units and sold a portion of those shares in open-market transactions.

How many Rockwell Automation (ROK) shares were acquired and sold in this Form 4?

The family trust acquired 3,936 shares on 12/04/2025 and 3,702 shares on 12/05/2025 through restricted stock unit settlements, and sold 1,660 and 102 shares on 12/05/2025 at weighted average prices reported as $402.873 and $403.3822, respectively.

Why were some Rockwell Automation (ROK) shares sold by the CEOs family trust?

The explanation states the shares were sold under a Rule 10b5-1 plan entered into on 05/30/2025 to cover taxes due on restricted stock units that vested on 12/04/2025.

How many Rockwell Automation (ROK) shares does the CEOs family trust hold after the transactions?

After the reported transactions, the filing shows the family trust beneficially owning 89,749 shares of Rockwell Automation common stock indirectly.

What are the Rockwell Automation restricted stock units mentioned in the Form 4?

Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock and vests in three substantially equal annual installments beginning on the date exercisable stated in the filing.

What are the Rockwell Automation stock equivalents in the savings and nonqualified savings plans?

The filing notes share equivalents held through a company savings plan and a nonqualified savings plan, where each unit is the economic equivalent of one share of Rockwell Automation common stock and is payable in cash as described in the plans.