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Rockwell Automation (ROK) SVP discloses 10b5-1 stock sales and option, RSU awards

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

Rhea-AI Filing Summary

Rockwell Automation, Inc. SVP and Chief Supply Chain Officer Robert L. Buttermore reported several equity transactions in company stock. On 12/08/2025, he sold small blocks of common stock, including 206 and 25 shares, at weighted average prices of about $400.94 and $401.69, under a pre-arranged Rule 10b5-1 trading plan to cover taxes on vested restricted stock units. On 12/09/2025, 154 and 329 shares of common stock were acquired at an exercise price of $0 upon the vesting or settlement of equity awards.

Following these transactions, he directly owned several thousand shares of Rockwell common stock and also held an indirect interest through Company Savings Plan stock fund units. In addition, he received a new grant of 9,731 employee stock options with a $402.22 exercise price, vesting in three annual installments from 12/08/2026 to 12/08/2035, plus 2,835 restricted stock units and performance shares, each generally representing the right to receive one share of Rockwell common stock.

Positive

  • None.

Negative

  • None.
Insider Buttermore Robert L.
Role SVP,Chief Supply Chain Officer
Sold 460 shs ($185K)
Type Security Shares Price Value
Sale Common Stock 63 $400.7807 $25K
Sale Common Stock 78 $401.7679 $31K
Sale Common Stock 87 $402.858 $35K
Sale Common Stock 1 $403.71 $403.71
Exercise Restricted Stock Units 154 $0.00 --
Exercise Performance Shares 329 $0.00 --
Exercise Common Stock 154 $0.00 --
Exercise Common Stock 329 $0.00 --
Grant/Award Employee Stock Option (Right to Buy) 9,731 $0.00 --
Grant/Award Restricted Stock Units 2,835 $0.00 --
Sale Common Stock 206 $400.9431 $83K
Sale Common Stock 25 $401.694 $10K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 3,080 shares (Direct); Restricted Stock Units — 0 shares (Direct); Performance Shares — 0 shares (Direct); Employee Stock Option (Right to Buy) — 9,731 shares (Direct); Common Stock — 277.218 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 $400.44 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 $401.58 to $401.8650. 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 $400.4150 to $401.30. 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 $401.54 to $402.0250. 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 $402.54 to $403.3025. 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*
Buttermore Robert L.
(Last) (First) (Middle)
1201 S 2ND 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 Supply Chain Officer
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) 206 D $400.9431(2) 2,685 D
Common Stock 12/08/2025 S(1) 25 D $401.694(3) 2,660 D
Common Stock 12/09/2025 M 154 A $0 2,814 D
Common Stock 12/09/2025 M 329 A $0 3,143 D
Common Stock 12/10/2025 S(4) 63 D $400.7807(5) 3,080 D
Common Stock 12/10/2025 S(4) 78 D $401.7679(6) 3,002 D
Common Stock 12/10/2025 S(4) 87 D $402.858(7) 2,915 D
Common Stock 12/10/2025 S(4) 1 D $403.71 2,914 D
Common Stock 277.2183(8) 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(9) 9,731 12/08/2026(10) 12/08/2035 Common Stock 9,731 $0 9,731 D
Restricted Stock Units (11) 12/08/2025 A(9) 2,835 12/08/2026(12) 12/08/2028 Common Stock 2,835 $0 2,835 D
Restricted Stock Units (11) 12/09/2025 M 154 12/09/2023(12) 12/09/2025 Common Stock 154 $0 0 D
Performance Shares (13) 12/09/2025 M 329 12/09/2025 12/09/2025 Common Stock 329 $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 $400.44 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 $401.58 to $401.8650. 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 $400.4150 to $401.30. 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 $401.54 to $402.0250. 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 $402.54 to $403.3025. 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. 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.
9. Awarded under the Company's 2020 Long-Term Incentive Plan.
10. The options vest in three substantially equal annual installments beginning on date exercisable.
11. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
12. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
13. 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 Robert L. Buttermore 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 its SVP and Chief Supply Chain Officer?

The SVP and Chief Supply Chain Officer, Robert L. Buttermore, reported small sales of Rockwell common stock on 12/08/2025 and 12/10/2025, along with acquisitions of shares on 12/09/2025 related to equity awards, plus new grants of stock options, restricted stock units, and performance shares.

Were the Rockwell Automation (ROK) insider stock sales part of a Rule 10b5-1 plan?

Yes. The sales on 12/08/2025 and 12/10/2025 were made pursuant to a Rule 10b5-1 trading plan entered into on 11/27/2024 to cover taxes due on restricted stock units that vested in December 2025.

What prices were reported for the Rockwell Automation (ROK) insider stock sales?

Weighted average prices reported included about $400.9431 and $401.694 on 12/08/2025, and approximately $400.7807, $401.7679, $402.858, and $403.71 on 12/10/2025, with shares sold in ranges around those levels.

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

He received 9,731 employee stock options with a $402.22 exercise price and 2,835 restricted stock units, all awarded under the 2020 Long-Term Incentive Plan. The options and restricted stock units vest in three substantially equal annual installments beginning on their stated exercisable dates.

How do the Rockwell Automation (ROK) restricted stock units and performance shares work?

Each restricted stock unit generally represents a contingent right to receive one share of Rockwell Automation common stock, vesting in three substantially equal annual installments. Each performance share represents a contingent right to receive one share of common stock or the cash equivalent, based on plan terms.

Does the Rockwell Automation (ROK) executive hold shares through a company savings plan?

Yes. The filing notes an indirect holding of Rockwell stock through Company Savings Plan stock fund units, with amounts based on information from the Plan Administrator as of 09/30/2025. The number of units can vary with the plan’s cash and investment mix.