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Rockwell Automation (ROK) SVP Buttermore Exercises RSUs, Sells 184 Shares

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

Rhea-AI Filing Summary

Rockwell Automation SVP reports equity transactions and holdings. Robert L. Buttermore, Senior Vice President and Chief Supply Chain Officer of Rockwell Automation (ROK), reported the vesting and exercise of restricted stock units and a small share sale. On 12/04/2025 and 12/05/2025, he acquired 573 and 538 shares of common stock, respectively, at an exercise price of $0 as restricted stock units vested. On 12/05/2025, he sold 184 shares of common stock at a weighted average price of $402.8619 per share under a Rule 10b5-1 trading plan entered on 11/27/2024 to cover taxes due on the vesting. After these transactions, he directly held 2,891 shares of common stock, 277.2183 shares indirectly through a company savings plan, 1,078 restricted stock units, and 63.06 common stock share equivalents in a nonqualified savings plan.

Positive

  • None.

Negative

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Insider Buttermore Robert L.
Role SVP,Chief Supply Chain Officer
Sold 184 shs ($74K)
Type Security Shares Price Value
Exercise Restricted Stock Units 538 $0.00 --
Exercise Common Stock 538 $0.00 --
Sale Common Stock 184 $402.8619 $74K
Exercise Restricted Stock Units 573 $0.00 --
Exercise Common Stock 573 $0.00 --
holding Common Stock Share Equivalents -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 1,078 shares (Direct); Common Stock — 3,075 shares (Direct); Common Stock Share Equivalents — 63.06 shares (Indirect, By Nonqualified Savings Plan); 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 12/4/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.34 to $403.2650. 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. 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 unit is the economic equivalent of one share of Company common stock. The share equivalents are payable in cash upon retirement or after termination of employment. 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 9/30/2025. 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.
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)
12/04/2025
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 12/04/2025 M 573 A $0 2,537 D
Common Stock 12/05/2025 M 538 A $0 3,075 D
Common Stock 12/05/2025 S(1) 184 D $402.8619(2) 2,891 D
Common Stock 277.2183(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
Restricted Stock Units (4) 12/04/2025 M 573 12/04/2024(5) 12/04/2026 Common Stock 573 $0 573 D
Restricted Stock Units (4) 12/05/2025 M 538 12/05/2025(5) 12/05/2027 Common Stock 538 $0 1,078 D
Common Stock Share Equivalents (6) (7) (7) Common Stock 63.06 63.06(8) I By Nonqualified Savings Plan
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 12/4/2025.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.34 to $403.2650. 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 9/30/2025. 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.
4. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
5. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
6. Each unit is the economic equivalent of one share of Company common stock.
7. The share equivalents are payable in cash upon retirement or after termination of employment.
8. 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 9/30/2025. 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 Robert L. Buttermore 12/05/2025
** 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 transaction did Rockwell Automation (ROK) report for its SVP?

Rockwell Automation reported that Senior Vice President and Chief Supply Chain Officer Robert L. Buttermore exercised restricted stock units on 12/04/2025 and 12/05/2025, acquiring 573 and 538 shares of common stock at an exercise price of $0 per share, and sold 184 shares of common stock on 12/05/2025.

At what price were Rockwell Automation (ROK) shares sold in this Form 4 filing?

The 184 Rockwell Automation common shares were sold at a weighted average price of $402.8619 per share, with individual sale prices ranging from $402.34 to $403.2650.

Was the Rockwell Automation (ROK) insider sale under a Rule 10b5-1 plan?

Yes. The sale of 184 shares was 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 on 12/04/2025.

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

Following the reported transactions, Robert L. Buttermore directly owned 2,891 shares of Rockwell Automation common stock and indirectly held 277.2183 shares through a company savings plan, plus 1,078 restricted stock units and 63.06 common stock share equivalents in a nonqualified savings plan.

What restricted stock units were reported in this Rockwell Automation (ROK) Form 4?

The filing reports restricted stock units that vested into 573 shares on 12/04/2025 and 538 shares on 12/05/2025. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock and vests in three substantially equal annual installments beginning on the date exercisable.

What are the Rockwell Automation (ROK) share equivalents in the nonqualified savings plan?

The filing states that each unit in the nonqualified savings plan is the economic equivalent of one share of Rockwell Automation common stock. After the reported transactions, the reporting person held 63.06 common stock share equivalents, which are payable in cash upon retirement or after termination of employment.