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Rockwell Automation (ROK) VP John M. Miller reports RSU exercises and stock sales

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Rockwell Automation executive John M. Miller reported equity transactions in company stock. As VP and Chief IP Counsel, he exercised restricted stock units into 65 shares of common stock on 12/04/2025 and 54 shares on 12/05/2025, both at an exercise price of $0, reflecting stock-based compensation vesting.

On 12/05/2025, he sold 27 shares at a weighted average price of $402.8326 and 3 shares at $403.43 under a pre-arranged Rule 10b5‑1 trading plan to cover taxes on vested units. After these transactions, he beneficially owned 5,891.8061 shares directly and 475.6753 shares indirectly through a company savings plan, plus 108.0236 common stock share equivalents in a nonqualified savings plan.

Positive

  • None.

Negative

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Insider MILLER JOHN M
Role VP and Chief IP Counsel
Sold 30 shs ($12K)
Type Security Shares Price Value
Exercise Restricted Stock Units 54 $0.00 --
Exercise Common Stock 54 $0.00 --
Sale Common Stock 27 $402.8326 $11K
Sale Common Stock 3 $403.43 $1K
Exercise Restricted Stock Units 65 $0.00 --
Exercise Common Stock 65 $0.00 --
holding Common Stock Share Equivalents -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 108 shares (Direct); Common Stock — 5,921.806 shares (Direct); Common Stock Share Equivalents — 108.024 shares (Indirect, Nonqual. Savings Plan); Common Stock — 475.675 shares (Indirect, By Savings Plan)
Footnotes (1)
  1. Includes shares acquired under the Company's dividend reinvestment plan as reported by the plan administrator on 9/12/2025 Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2024 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 $402.31 to $403.23. 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*
MILLER JOHN M
(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)
VP and Chief IP Counsel
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 65 A $0 5,867.8061(1) D
Common Stock 12/05/2025 M 54 A $0 5,921.8061 D
Common Stock 12/05/2025 S(2) 27 D $402.8326(3) 5,894.8061 D
Common Stock 12/05/2025 S(2) 3 D $403.43 5,891.8061 D
Common Stock 475.6753(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 65 12/04/2024(6) 12/04/2026 Common Stock 65 $0 65 D
Restricted Stock Units (5) 12/05/2025 M 54 12/05/2025(6) 12/05/2027 Common Stock 54 $0 108 D
Common Stock Share Equivalents (7) (8) (8) Common Stock 108.0236 108.0236(9) I Nonqual. Savings Plan
Explanation of Responses:
1. Includes shares acquired under the Company's dividend reinvestment plan as reported by the plan administrator on 9/12/2025
2. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2024 to cover taxes due on restricted stock units that vested on 12/4/2025.
3. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.31 to $403.23. 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 John M. Miller 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 for John M. Miller?

John M. Miller, VP and Chief IP Counsel of Rockwell Automation, reported exercises of restricted stock units into common stock and small sales of common shares, all disclosed on a Form 4.

How many Rockwell Automation (ROK) shares does John M. Miller own after these transactions?

After the reported transactions, John M. Miller beneficially owned 5,891.8061 Rockwell Automation common shares directly and 475.6753 shares indirectly via a company savings plan, plus 108.0236 common stock share equivalents in a nonqualified savings plan.

What stock sales did John M. Miller make in Rockwell Automation (ROK) on 12/05/2025?

On 12/05/2025, he sold 27 shares at a weighted average price of $402.8326 and 3 shares at $403.43, with prices ranging from $402.31 to $403.23.

Were John M. Miller’s Rockwell Automation (ROK) share sales under a Rule 10b5-1 plan?

Yes. The filing states the sales were made under a Rule 10b5-1 trading plan entered into on 11/26/2024 to cover taxes due on restricted stock units that vested on 12/04/2025.

What restricted stock unit activity did Rockwell Automation (ROK) disclose for John M. Miller?

The report shows exercises of restricted stock units into 65 shares on 12/04/2025 and 54 shares on 12/05/2025, each unit representing a right to receive one share of Rockwell Automation common stock.

How do the Rockwell Automation (ROK) restricted stock units vest for John M. Miller?

The filing explains that the restricted stock units vest in three substantially equal annual installments beginning on the stated exercisable date for each grant.