Rockwell Automation (NYSE: ROK) SVP sells shares under 10b5-1 plan

Filing Impact

(Moderate)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Rockwell Automation executive Bulho Matheus De A G Viera exercised restricted stock units and made a small, pre-planned share sale. On April 1, 2026, he converted 882 restricted stock units into the same number of common shares at a stated price of $0.00 per share, reflecting equity compensation rather than a market purchase.

On April 2, 2026, he sold 299 common shares in an open-market transaction at a weighted average price of $359.00 per share, with actual prices ranging from $358.76 to $359.25. A footnote explains this sale was made under a pre-arranged Rule 10b5-1 plan entered on November 26, 2025 to cover taxes due on RSUs that vested on April 1, 2026.

Following these transactions, he holds 2,984 common shares directly and an additional 5.71 shares indirectly through the Company Savings Plan. Footnotes note that each restricted stock unit represents a right to receive one share of Rockwell Automation common stock and that the RSUs vest in three substantially equal annual installments beginning on the exercisable date.

Insider Trade Summary 10b5-1

Net Seller: 299 shares ($107,341)

Net Sell 4 txns

Insider Bulho Matheus De A G Viera

Role SVP Software and Control

Sold 299 shs ($107K)

Type	Security	Shares	Price	Value
Sale	Common Stock	299	$359.00	$107K
Exercise	Restricted Stock Units	882	$0.00	--
Exercise	Common Stock	882	$0.00	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 2,984 shares (Direct); Restricted Stock Units — 883 shares (Direct); Common Stock — 5.71 shares (Indirect, By Savings Plan)

Footnotes (1)

Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2025 to cover taxes due on restricted stock units that vested on 4/1/2026. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $358.76 to $359.25. 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 3/31/2026. 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.

Key Figures

Shares sold: 299 shares Weighted average sale price: $359.00 per share Sale price range: $358.76 to $359.25 +3 more

6 metrics

Shares sold 299 shares Open-market sale on April 2, 2026

Weighted average sale price $359.00 per share Common stock sale on April 2, 2026

Sale price range $358.76 to $359.25 Price range for sold common shares

RSUs exercised 882 restricted stock units Converted to common stock on April 1, 2026

Direct common shares after transactions 2,984 shares Direct ownership following April 2026 trades

Indirect savings plan holdings 5.71 shares Held via Company Savings Plan as of March 31, 2026

Key Terms

Rule 10b5-1 plan, restricted stock units, weighted average price, Company Savings Plan, +1 more

5 terms

Rule 10b5-1 plan financial

"Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2025"

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

"Sale of shares pursuant to Rule 10b5-1 plan ... to cover taxes due on restricted stock units that vested on 4/1/2026"

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.

Company Savings Plan financial

"Includes shares represented by Company stock fund units acquired under the Company Savings Plan"

stock fund units financial

"The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal"

Form 4 Insider Transactions: What Each Field Means →

04/03/2026 - 05:17 PM

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^*

Bulho Matheus De A G Viera

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	SVP Software and Control

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/01/2026		M		882	A	$0	3,283	D
Common Stock	04/02/2026		S⁽¹⁾		299	D	$359⁽²⁾	2,984	D
Common Stock								5.71⁽³⁾	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽⁴⁾	04/01/2026		M			882	04/01/2025⁽⁵⁾	04/01/2027	Common Stock	882	$0	883	D

Explanation of Responses:

1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2025 to cover taxes due on restricted stock units that vested on 4/1/2026.

2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $358.76 to $359.25. 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. 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 3/31/2026. 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.

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 Matheus De A G Viera Bulho	04/03/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Rockwell Automation (ROK) report for Bulho Matheus De A G Viera?

Rockwell Automation reported that SVP Software and Control Bulho Matheus De A G Viera exercised 882 restricted stock units into common shares, then sold 299 common shares in an open-market trade. These moves reflect routine equity compensation activity and a tax-related share sale.

How many Rockwell Automation (ROK) shares did the executive sell and at what price?

He sold 299 common shares of Rockwell Automation at a weighted average price of $359.00 per share, with individual trade prices ranging from $358.76 to $359.25. The sale was executed in the open market under a pre-arranged Rule 10b5-1 trading plan.

Was the Rockwell Automation (ROK) insider sale made under a Rule 10b5-1 trading plan?

Yes. A footnote states the 299-share sale occurred under a Rule 10b5-1 plan adopted on November 26, 2025. The plan’s purpose was to sell shares to cover taxes owed on restricted stock units that vested on April 1, 2026.

How many Rockwell Automation (ROK) shares does the insider hold after these transactions?

After the transactions, Bulho Matheus De A G Viera directly owns 2,984 shares of Rockwell Automation common stock. He also has an indirect interest in 5.71 additional shares through the Company Savings Plan, based on information from the plan administrator as of March 31, 2026.

What happened to the restricted stock units in this Rockwell Automation (ROK) Form 4 filing?

The filing shows 882 restricted stock units were exercised or converted into 882 shares of Rockwell Automation common stock at a stated price of $0.00 per share. Each restricted stock unit represents a contingent right to receive one share, vesting in three approximately equal annual installments.

Why did the Rockwell Automation (ROK) executive sell shares following RSU vesting?

According to the footnote, the 299-share sale was specifically to cover taxes due on restricted stock units that vested on April 1, 2026. The transaction was executed pursuant to a previously established Rule 10b5-1 trading plan, indicating it was pre-scheduled rather than opportunistic.