Rockwell (ROK) Form 4: Executive RSU grant and 10b5-1 sales detailed

Rhea-AI Filing Summary

Insider transactions by Cyril Perducat at Rockwell Automation (ROK) show a grant of 581 restricted stock units on 04/09/2025 that convert to common stock and vest in three equal annual installments beginning on the date exercisable. Those 581 RSUs are reported as acquired at $0, increasing his beneficial ownership to 5,222 shares. On 08/29/2025 Perducat sold 1,335 shares at a weighted-average price of $348.0155 and an additional 100 shares at $348.99 under a Rule 10b5-1 plan entered 05/30/2025, reducing his reported beneficial ownership to 3,787 shares. The filer notes availability of share-by-share sale prices upon request.

Positive

• 581 restricted stock units granted with clear vesting in three substantially equal annual installments
• Sales executed under a Rule 10b5-1 plan, providing an affirmative defense and indicating pre-planned disposition
• Disclosure offers additional per-share sale price details on request, showing transparency

Negative

• Reported beneficial ownership decreased from 5,222 to 3,787 shares following the transactions
• 1,435 shares sold on 08/29/2025, representing a reduction in the insider's stake

Insights

Corporate Governance Expert

TL;DR: Routine executive equity grant and planned sales under a 10b5-1 plan; disclosure aligns with governance norms.

The filing documents a typical restricted stock unit grant and subsequent planned sales executed under a Rule 10b5-1 plan, which provides an affirmative defense against insider trading claims when properly adopted. Vesting occurs in three substantially equal annual installments, which is a common retention structure. The reporting includes weighted-average sale price disclosure and an undertaking to provide per-price detail on request, demonstrating transparency. The transactions materially reduce reported beneficial ownership but are consistent with disclosed plan activity rather than ad hoc sales.

Securities Analyst

TL;DR: Small-scale insider selling after an RSU grant; not likely material to company valuation.

The reporting person received 581 RSUs exercisable beginning 04/09/2025 and sold 1,435 shares on 08/29/2025 in two tranches at prices around $347.56–$348.99. Beneficial ownership fell from 5,222 to 3,787 shares. The sales occurred under a pre-established 10b5-1 plan entered 05/30/2025, suggesting scheduled disposition rather than information-driven trading. Based solely on the disclosed quantities, the transactions appear minor relative to a large-cap issuer and present limited immediate market impact.

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^*

Perducat Cyril

(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, Chief Technology Officer

3. Date of Earliest Transaction (Month/Day/Year)
04/09/2025

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	04/09/2025		M		581	A	$0	5,222	D
Common Stock	08/29/2025		S(1)		1,335	D	$348.0155(2)	3,887	D
Common Stock	08/29/2025		S(1)		100	D	$348.99	3,787	D

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	(3)	04/09/2025		M			581	04/09/2025(4)	04/09/2027	Common Stock	581	$0	1,163	D

Explanation of Responses:

1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 5/30/2025.

2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $347.56 to $348.44. 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. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.

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

Remarks:

	Danielle White, Attorney-in-fact for Cyril Perducat	09/02/2025
	** 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.

FAQ

What insider transactions did Cyril Perducat report for ROK?

The form reports acquisition of 581 RSUs on 04/09/2025 and sales of 1,335 and 100 shares on 08/29/2025.

Were the ROK share sales by Perducat part of a 10b5-1 plan?

Yes. The sales on 08/29/2025 were executed pursuant to a Rule 10b5-1 plan entered 05/30/2025.

At what prices were the ROK shares sold?

Sales were at a weighted-average price of $348.0155 (range $347.56–$348.44) for the 1,335-share tranche and $348.99 for the 100-share tranche.

How many ROK shares does Perducat beneficially own after these transactions?

The reported beneficial ownership following the transactions is 3,787 shares.

When do the granted RSUs vest?

The 581 restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.