Rockwell Automation (ROK) Form 4: 1,257 RSUs Granted to CFO

Rhea-AI Filing Summary

Reporting person Christian E. Rothe, Senior Vice President and Chief Financial Officer of Rockwell Automation (ROK), reported receipt of 1,257 restricted stock units (RSUs) on 08/19/2025. Each RSU represents a contingent right to one share of common stock and vests in three substantially equal annual installments beginning on the date exercisable. Following the reported acquisition, Mr. Rothe beneficially owns 8,530 shares of Rockwell Automation common stock. The Form 4 was signed by an attorney-in-fact on 08/21/2025. All holdings and grant details are shown on the filing; no derivative sales or cash purchases were reported.

Positive

• Acquisition of 1,257 RSUs documented on 08/19/2025, indicating executive equity alignment with shareholders
• Beneficial ownership increased to 8,530 shares following the reported transaction
• Vesting schedule disclosed: RSUs vest in three substantially equal annual installments beginning on the date exercisable

Negative

• None.

Insights

Corporate Governance Expert

TL;DR: CFO received 1,257 RSUs that vest over three years, increasing his beneficial ownership to 8,530 shares.

The filing documents a routine equity award to a named executive officer rather than a market purchase or sale. The award is structured as restricted stock units that convert to common shares on vesting, with vesting occurring in three substantially equal annual installments after the date exercisable. For governance reviewers, this is a common retention and compensation mechanism aligning executive interests with shareholders; the filing provides clear counts and vesting schedule but does not disclose grant fair value or percent of outstanding shares.

Securities/Insider Trading Analyst

TL;DR: Insider reported an equity grant of 1,257 RSUs (no cash price), now holding 8,530 shares beneficially.

From a reporting and compliance perspective, the Form 4 records a non-derivative acquisition via restricted stock units (transaction code indicated as M) and lists the conversion to common stock on vesting. The filing is timely and signed by an attorney-in-fact. It discloses precise share counts and vesting cadence but does not include information on grant valuation or any contemporaneous open-market transactions.

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

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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^*

Rothe Christian E

(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)
	Sr. VP and CFO

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2025

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	08/19/2025		M		1,257	A	$0	8,530	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	(1)	08/19/2025		M			1,257	08/19/2025(2)	08/19/2027	Common Stock	1,257	$0	2,514	D

Explanation of Responses:

1. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.

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

Remarks:

	Danielle White, Attorney-In-Fact for Christian E. Rothe	08/21/2025
	** 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 transaction did Christian E. Rothe report on Form 4 for ROK?

The Form 4 reports the acquisition of 1,257 restricted stock units (RSUs) on 08/19/2025.

How many Rockwell Automation (ROK) shares does the reporting person beneficially own after the transaction?

Following the reported transaction, Christian E. Rothe beneficially owns 8,530 shares of common stock.

What is the vesting schedule for the restricted stock units reported?

The RSUs vest in three substantially equal annual installments beginning on the date exercisable.

Was any cash price reported for the RSU acquisition?

No cash price was reported; the filing shows the RSUs with a reported price of $0 and conversion to common stock on vesting.

Who signed the Form 4 filing and when?

The Form 4 was signed by Danielle White, Attorney-In-Fact for Christian E. Rothe on 08/21/2025.