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

Rockwell Automation (NYSE: ROK) CLO reports stock sales and new equity grants

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Rockwell Automation, Inc. reported equity transactions by senior vice president, chief legal officer and secretary Rebecca W. House. On 12/08/2025, she sold 289 and 62 shares of common stock at weighted average prices of $400.819 and $401.6387, and on 12/10/2025 sold 502, 562, 553 and 81 shares at weighted average prices between about $400.9253 and $403.7049, all marked as sales under Rule 10b5-1 plans to cover taxes on vesting restricted stock units.

On 12/09/2025, 1,155 and 2,466 common shares were acquired at $0 upon the vesting and settlement of restricted stock units and performance shares. She also received an employee stock option for 11,267 shares at an exercise price of $402.22 and 3,282 restricted stock units, both awarded under the company’s 2020 Long-Term Incentive Plan and scheduled to vest in three annual installments beginning 12/08/2026. After these transactions, she directly owned 12,200 common shares and indirectly held 51.0786 shares through a company savings plan, with additional derivative awards outstanding.

Positive

  • None.

Negative

  • None.
Insider House Rebecca W
Role SVP, CLO and Secretary
Sold 2,049 shs ($823K)
Type Security Shares Price Value
Sale Common Stock 502 $400.9253 $201K
Sale Common Stock 562 $401.8967 $226K
Sale Common Stock 553 $403.0134 $223K
Sale Common Stock 81 $403.7049 $33K
Exercise Restricted Stock Units 1,155 $0.00 --
Exercise Performance Shares 2,466 $0.00 --
Exercise Common Stock 1,155 $0.00 --
Exercise Common Stock 2,466 $0.00 --
Grant/Award Employee Stock Option (Right to Buy) 11,267 $0.00 --
Grant/Award Restricted Stock Units 3,282 $0.00 --
Sale Common Stock 289 $400.819 $116K
Sale Common Stock 62 $401.6387 $25K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 13,396 shares (Direct); Restricted Stock Units — 0 shares (Direct); Performance Shares — 0 shares (Direct); Employee Stock Option (Right to Buy) — 11,267 shares (Direct); Common Stock — 51.079 shares (Indirect, By savings plan)
Footnotes (1)
  1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/27/2024 to cover taxes due on restricted stock units that vested on 12/5/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $400.40 to $401.2850. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $401.40 to $401.87. 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. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/27/2024 to cover taxes due on restricted stock units that vested on 12/9/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $400.51 to $401.47. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $401.5250 to $402.2450. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.6150 to $403.34. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.64 to $403.77. 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. Awarded under the Company's 2020 Long-Term Incentive Plan. The options vest in three substantially equal annual installments beginning on date exercisable. 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 performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
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*
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)
12/08/2025
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 12/08/2025 S(1) 289 D $400.819(2) 10,339 D
Common Stock 12/08/2025 S(1) 62 D $401.6387(3) 10,277 D
Common Stock 12/09/2025 M 1,155 A $0 11,432 D
Common Stock 12/09/2025 M 2,466 A $0 13,898 D
Common Stock 12/10/2025 S(4) 502 D $400.9253(5) 13,396 D
Common Stock 12/10/2025 S(4) 562 D $401.8967(6) 12,834 D
Common Stock 12/10/2025 S(4) 553 D $403.0134(7) 12,281 D
Common Stock 12/10/2025 S(4) 81 D $403.7049(8) 12,200 D
Common Stock 51.0786(9) 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
Employee Stock Option (Right to Buy) $402.22 12/08/2025 A(10) 11,267 12/08/2026(11) 12/08/2035 Common Stock 11,267 $0 11,267 D
Restricted Stock Units (12) 12/08/2025 A(10) 3,282 12/08/2026(13) 12/08/2028 Common Stock 3,282 $0 3,282 D
Restricted Stock Units (12) 12/09/2025 M 1,155 12/09/2023(13) 12/09/2025 Common Stock 1,155 $0 0 D
Performance Shares (14) 12/09/2025 M 2,466 12/09/2025 12/09/2025 Common Stock 2,466 $0 0 D
Explanation of Responses:
1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/27/2024 to cover taxes due on restricted stock units that vested on 12/5/2025.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $400.40 to $401.2850. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $401.40 to $401.87. 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. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/27/2024 to cover taxes due on restricted stock units that vested on 12/9/2025.
5. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $400.51 to $401.47. 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.
6. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $401.5250 to $402.2450. 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.
7. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.6150 to $403.34. 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.
8. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.64 to $403.77. 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.
9. 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.
10. Awarded under the Company's 2020 Long-Term Incentive Plan.
11. The options vest in three substantially equal annual installments beginning on date exercisable.
12. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
13. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
14. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
Remarks:
Danielle White, Attorney-in-fact for Rebecca W. House 12/10/2025
** 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 transactions did Rockwell Automation (ROK) report for December 2025?

The filing shows that SVP, CLO and Secretary Rebecca W. House sold multiple blocks of Rockwell Automation common stock on 12/08/2025 and 12/10/2025, and that equity awards including stock options, restricted stock units and performance shares vested or were granted around 12/08/2025 and 12/09/2025.

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

On 12/08/2025, she sold 289 shares at a weighted average price of $400.819 and 62 shares at $401.6387. On 12/10/2025, she sold 502, 562, 553 and 81 shares at weighted average prices of $400.9253, $401.8967, $403.0134 and $403.7049, respectively.

Were the Rockwell Automation (ROK) stock sales made under a Rule 10b5-1 plan?

Yes. The filing states that certain sales on 12/08/2025 and 12/10/2025 were made pursuant to Rule 10b5-1 plans entered into on 11/27/2024 to cover taxes due on restricted stock units that vested on 12/5/2025 and 12/9/2025.

What new equity awards did the Rockwell Automation (ROK) executive receive?

On 12/08/2025, she received an employee stock option for 11,267 shares of common stock at an exercise price of $402.22, and 3,282 restricted stock units, all under the company’s 2020 Long-Term Incentive Plan. These awards are scheduled to vest in three substantially equal annual installments beginning 12/08/2026.

How many Rockwell Automation (ROK) shares did the executive acquire through vesting in December 2025?

On 12/09/2025, 1,155 common shares were acquired at $0 upon settlement of restricted stock units and 2,466 common shares were acquired at $0 upon settlement of performance shares, each representing one share of Rockwell Automation common stock per unit or performance share.

What is the Rockwell Automation (ROK) executive’s share ownership after these transactions?

Following the reported transactions, she directly owned 12,200 shares of Rockwell Automation common stock and indirectly held 51.0786 shares represented by stock fund units in the company savings plan, based on plan administrator information as of 09/30/2025.

How do the Rockwell Automation (ROK) equity awards vest over time?

The options for 11,267 shares vest in three substantially equal annual installments beginning on 12/08/2026, and the 3,282 restricted stock units also vest in three substantially equal annual installments beginning on their date exercisable. Vested restricted stock units and performance shares each convert into one share of common stock or the cash equivalent.