Rockwell (ROK) Officer Exercises 365 Options and Executes Sale Under 10b5-1

Rhea-AI Filing Summary

Isaac Woods, Vice President and Treasurer of Rockwell Automation (ROK), reported transactions dated 08/29/2025. He exercised 365 employee stock options with an exercise price of $196.43 and immediately sold 365 shares at $348.44 under a Rule 10b5-1 trading plan entered on 05/30/2025. After these transactions he beneficially owned 1,691 shares directly; he also holds 460.9468 share equivalents indirectly through the company Nonqualified Savings Plan (plan balances reported as of 06/30/2025). The Form 4 was signed by Danielle White as attorney-in-fact on 09/02/2025.

Insights

Financial Analyst

TL;DR: Routine option exercise and sale under a 10b5-1 plan; no new material disclosures about company fundamentals.

The report shows an executive exercising 365 vested options at $196.43 and selling the resulting shares at $348.44 on the same date under a pre-established Rule 10b5-1 plan. Such transactions are commonly used to convert equity compensation to cash while complying with insider-trading safe-harbors. The transaction reduces the reporting person's direct share count by 365 but leaves a modest indirect position via the company's savings plan. There is no indication of any accelerating vesting, loans, or pledging related to these shares in the filing.

Corporate Governance Expert

TL;DR: Disclosure aligns with governance best practices; sale executed under documented 10b5-1 plan.

The Form 4 clearly discloses the exercise and sale and cites a 10b5-1 plan established on 05/30/2025, which provides an affirmative defense for the sale timing. The filing includes both direct and indirect beneficial ownership and an explanation regarding savings-plan share equivalents, consistent with transparency expectations for officer trades. Signature by an attorney-in-fact is properly noted. No governance red flags such as undisclosed related-party transactions or sudden, atypical transfers are present in this form.

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
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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^*

Woods Isaac

(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)
	Vice President and Treasurer

3. Date of Earliest Transaction (Month/Day/Year)
08/29/2025

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	08/29/2025		M		365	A	$196.43	2,056	D
Common Stock	08/29/2025		S(1)		365	D	$348.44	1,691	D
Common Stock								460.9468(2)	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)	$196.43	08/29/2025		M			365	12/05/2020	12/05/2029	Common Stock	365	$196.43	0	D

Explanation of Responses:

1. Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 5/30/2025.

2. Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 6/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund 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.

Remarks:

	Danielle White, Attorney-in-fact for Isaac Woods	09/02/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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