Rockwell Automation CEO Executes Option Exercise and 10b5-1 Sale

Rhea-AI Filing Summary

Blake D. Moret, President and CEO and a director of Rockwell Automation (ROK), reported transactions dated 09/11/2025. He exercised 24,400 employee stock options with an exercise price of $115.89 and acquired 24,400 common shares. The same day 24,400 shares were sold under a Rule 10b5-1 trading plan entered 05/30/2025 at a weighted average price of $350.131 per share. Following the reported transactions his total beneficial ownership is reported as 108,273 shares in one line and 83,873 shares in the sale line; additional holdings include Company stock fund units noted from the Savings Plan as reported by the Plan Administrator.

Positive

• Transaction executed under a Rule 10b5-1 plan, which provides an affirmative defense and indicates pre-planned timing
• Full Form 4 disclosure provided including option exercise details, weighted average sale price, and explanatory remarks

Negative

• None.

Insights

Financial Analyst

TL;DR: Routine option exercise and concurrent sale under a pre-established 10b5-1 plan; no new material corporate information disclosed.

The filing shows a common pattern where an executive exercises vested options and sells an equal number of shares the same day under a 10b5-1 plan, realizing the spread between the exercise price ($115.89) and the sale proceeds (weighted average $350.131). This transaction crystallizes economic gain from long-dated compensation but does not by itself change control or indicate material operational news. Reported beneficial ownership figures and plan disclosure comply with Section 16 reporting norms.

Corporate Governance Expert

TL;DR: Proper disclosure of exercise and Rule 10b5-1 sale; procedural governance appears consistent with insider trading policies.

The Form 4 documents an exercise of employee options granted earlier (exercise price $115.89, original grant date shown as 07/01/2017) and an immediate sale under a trading plan entered 05/30/2025. The filing includes the required explanatory note about the 10b5-1 plan and weighted average sale price, and is signed by an attorney-in-fact. From a governance perspective, the presence of a documented trading plan and the explanatory disclosures reduce concerns about opportunistic insider sales, and the submission appears procedurally sound.

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^*

Moret Blake D.

(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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President and CEO

3. Date of Earliest Transaction (Month/Day/Year)
09/11/2025

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	09/11/2025		M		24,400	A	$0	108,273	I	By Family Trust
Common Stock	09/11/2025		S(1)		24,400	D	$350.131(2)	83,873	I	By Family Trust
Common Stock								165.6023(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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (Right to Buy)	$115.89	09/11/2025		M			24,400	07/01/2017	07/01/2026	Common Stock	24,400	$0	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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $350 to $350.58. 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 9/3/2025. 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.

Remarks:

	Danielle White, Attorney-in-Fact for Blake D. Moret	09/12/2025
	** 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 did Blake D. Moret do on 09/11/2025 according to the ROK Form 4?

He exercised 24,400 employee stock options (exercise price $115.89) and sold 24,400 shares the same day under a 10b5-1 plan.

Was the sale on Form 4 part of a pre-established trading plan?

Yes. The filing states the sale was made pursuant to a Rule 10b5-1 trading plan entered into on 05/30/2025.

What was the weighted average sale price reported for the shares sold?

The weighted average sale price reported was $350.131 per share, with sales ranging from $350.00 to $350.58.

How many shares does the Form 4 report as beneficially owned following the transactions?

The filing reports 108,273 shares in one line and 83,873 shares following the sale line; the filing also references additional Company stock fund units from the Savings Plan.

Who signed the Form 4 on behalf of Blake D. Moret?

The Form 4 was signed by Danielle White, Attorney-in-Fact for Blake D. Moret on 09/12/2025.