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

Rockwell Automation (NYSE: ROK) CFO sells 590 shares

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

Rhea-AI Filing Summary

ROCKWELL AUTOMATION, INC (ROK) reported insider activity by Sr. VP and CFO Christian E. Rothe. On 8/19/2026, he exercised 1,257 Restricted Stock Units, receiving 1,257 shares of common stock at $0.00 per share. On 8/20/2026, he sold 590 shares of common stock at a weighted average price of $434.3008 per share, with individual sale prices ranging from $433.73 to $434.42. The sale was made under a Rule 10b5-1 trading plan adopted on 11/25/2025 to cover taxes due on RSUs that vested on 8/19/2026.

Positive

  • None.

Negative

  • None.
Insider Rothe Christian E
Role Sr. VP and CFO
Sold 590 shs ($256K)
Approx. gross sale proceeds $256K
Type Security Shares Price Value
Sale Common Stock F2, F3 590 $434.3008 $256K
Exercise Restricted Stock Units F4, F5 1,257 $0.00 $0.00
Exercise Common Stock F1 1,257 $0.00 $0.00
Holdings After Transaction: Restricted Stock Units — 1,257 shares (Direct); Common Stock — 10,428.6941 shares (Direct)
Footnotes (5)
  1. F1. Includes shares acquired under the Company's dividend reinvestment plan as reported by the plan administrator on 6/12/2026.
  2. F2. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/25/2025 to cover taxes due on restricted stock units that vested on 8/19/2026.
  3. F3. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $433.73 to $434.42 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. F4. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
  5. F5. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
Shares sold 590 shares Common Stock sale on 8/20/2026
Weighted average sale price $434.3008 per share Common Stock sale on 8/20/2026
Sale price range $433.73 to $434.42 per share Price range for 590-share sale on 8/20/2026
RSUs exercised 1,257 Restricted Stock Units Exercise/conversion on 8/19/2026 into Common Stock
Underlying shares received 1,257 shares Common Stock received from RSU exercise on 8/19/2026
Rule 10b5-1 plan adoption date 11/25/2025 Plan governing 590-share sale on 8/20/2026
Rule 10b5-1 plan regulatory
"Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/25/2025"
A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.
Restricted Stock Units financial
"Each restricted stock unit represents a contingent right to receive one share"
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.
weighted average price financial
"Price reported in column 4 is a weighted average price"
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

FAQ

What insider transactions did ROK's CFO Christian E. Rothe report on this Form 4?
Christian E. Rothe reported exercising 1,257 Restricted Stock Units into 1,257 common shares on 8/19/2026 and selling 590 common shares on 8/20/2026 at a weighted average price of $434.3008 per share.

At what prices were the 590 ROK shares sold by the CFO?
The 590 shares of ROK common stock were sold at a weighted average price of $434.3008 per share, with individual sale prices ranging between $433.73 and $434.42, as disclosed in the filing footnotes.

Were the ROK CFO’s stock sales under a Rule 10b5-1 plan?
Yes. The filing states the 590-share sale occurred pursuant to a Rule 10b5-1 plan entered into on 11/25/2025 to cover taxes due on restricted stock units that vested on 8/19/2026.

How many ROK Restricted Stock Units did the CFO exercise?
The CFO exercised 1,257 Restricted Stock Units on 8/19/2026, receiving 1,257 shares of Rockwell Automation common stock at an exercise price of $0.00 per unit.

What does each ROK Restricted Stock Unit represent in this Form 4?
Each Restricted Stock Unit reported represents a contingent right to receive one share of Rockwell Automation common stock, and the units vest in three substantially equal annual installments beginning on the date they become exercisable.

What is the net share effect of the ROK CFO’s reported transactions?
Across the reported transactions, there were 1,257 shares acquired from RSU exercise and 590 shares sold, for a net of 590 shares sold in buy/sell terms according to the filing’s transaction summary.

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

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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Rothe Christian E
(Last)(First)(Middle)
1201 S. 2ND STREET
(Street)
MILWAUKEE WISCONSIN 53204
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC [ ROK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Sr. VP and CFO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/19/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
Common Stock08/19/2026M1,257A$011,018.6941(1)D
Common Stock08/20/2026S(2)590D$434.3008(3)10,428.6941D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(4)08/19/2026M1,25708/19/2025(5)08/19/2027Common Stock1,257$01,257D
Explanation of Responses:
1. Includes shares acquired under the Company's dividend reinvestment plan as reported by the plan administrator on 6/12/2026.
2. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/25/2025 to cover taxes due on restricted stock units that vested on 8/19/2026.
3. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $433.73 to $434.42 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. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
5. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
Remarks:
Danielle White, Attorney-In-Fact for Christian E. Rothe08/21/2026
** 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 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR