ROK insider sale: SVP/CLO Rebecca House disposes 815 shares under 10b5-1

Rebecca W. House, Senior Vice President, Chief Legal Officer and Secretary of Rockwell Automation (ROK), reported a disposition of company common stock under a trading plan.

Rhea-AI Filing Summary

Rebecca W. House, Senior Vice President, Chief Legal Officer and Secretary of Rockwell Automation (ROK), reported a disposition of company common stock under a trading plan. The Form 4 shows a sale of 815 shares on 08/19/2025 recorded with transaction code G, indicating the sale was made pursuant to a pre-established plan intended to satisfy Rule 10b5-1(c) conditions. After the reported sale, Ms. House beneficially owned 8,972 shares directly. The filing also discloses an indirect interest of 50.907 shares represented by units in the Company Savings Plan as of 06/30/2025, per the plan administrator information.

Insights

Financial Analyst

TL;DR: Routine insider sale under a 10b5-1 plan, small in absolute terms relative to typical institutional holdings, no earnings impact disclosed.

The Form 4 records a disposition of 815 common shares by an officer via a Rule 10b5-1 trading plan on 08/19/2025. Transaction code G signals the sale followed a pre-established instruction rather than an ad hoc decision. The officer retains 8,972 shares directly and a modest indirect holding via the company savings plan. There is no pricing or cash value provided in the filing and no derivative activity reported. From a financial perspective, this is a routine liquidity event by an insider and contains no information about company operations or results.

Corporate Governance Expert

TL;DR: Disclosure aligns with Section 16 reporting; sale executed under a 10b5-1 plan reduces governance concerns about opportunistic timing.

The filing appropriately identifies the reporting person, role, and the use of a 10b5-1 plan (code G), which provides the affirmative defense for trades executed pursuant to pre-arranged instructions. The submission includes an explanatory note about savings plan unit accounting as of 06/30/2025 and is signed by an attorney-in-fact. There are no indications of noncompliance, amendments, or complex transactions such as options or conversions. This appears to be a compliant, routine insider disclosure.

Insider Trade Summary

815 shares gifted

Gift 2 txns

Insider House Rebecca W

Role SVP, CLO and Secretary

Type	Security	Shares	Price	Value
Gift	Common Stock	815	$0.00	$0.00
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 8,972 shares (Direct); Common Stock — 50.907 shares (Indirect, By savings plan)

Footnotes (1)

1. F1. 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 6/30/2025. 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.

FAQ

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

What transaction did Rebecca W. House report on the Form 4 for ROK?

She reported a disposition of 815 shares of Rockwell Automation common stock on 08/19/2025, executed under a Rule 10b5-1 plan (transaction code G).

How many Rockwell Automation shares does Rebecca House beneficially own after the reported sale?

8,972 shares directly are reported as beneficially owned following the transaction.

Does the Form 4 show any derivative transactions or option exercises for ROK?

No. Table II lists no derivative securities; only a non-derivative disposition is reported.

What does transaction code G mean on the Form 4 filed by Rebecca House?

Code G indicates the transaction was made pursuant to a contract, instruction, or written plan intended to qualify for the Rule 10b5-1(c) affirmative defense.

Is there any indirect ownership disclosed by Rebecca House in the filing?

Yes. The filing discloses an indirect interest of 50.907 units represented by the Company Savings Plan as of 06/30/2025.

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

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Accepted by SEC EDGAR 08/21/2025 - 05:05 PM Learn about SEC filing dates

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).

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^*

House Rebecca W

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP, CLO and Secretary

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2025

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	08/19/2025		G		815	D	$0	8,972	D
Common Stock								50.907(1)	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

Explanation of Responses:

1. 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 6/30/2025. 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.

Remarks:

	Danielle White, Attorney-in-fact for Rebecca W. House	08/21/2025
	** 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.