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  4. [Form 4] ROCKWELL AUTOMATION, INC Insider Trading Activity

Rockwell Automation (NYSE: ROK) officer exercises RSUs and sells shares

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

Rhea-AI Filing Summary

Rockwell Automation senior vice president and chief information officer Christopher Nardecchia reported routine equity transactions in company stock. On December 4 and 5, 2025, previously granted restricted stock units were converted into 358 and 1,177 shares of common stock at an exercise price of $0, increasing his direct holdings. On December 5, a total of 129 shares of common stock were sold under a prearranged Rule 10b5‑1 trading plan entered on November 27, 2024, to cover taxes on the vesting of these units, at weighted average prices around $403 per share.

After these transactions, Nardecchia directly owned 14,117 shares of Rockwell Automation common stock and also had an indirect interest in approximately 5.566 shares through the company savings plan, as reported by the plan administrator as of September 30, 2025.

Positive

  • None.

Negative

  • None.
Insider Nardecchia Christopher
Role SVP, Chief Information Officer
Sold 129 shs ($52K)
Type Security Shares Price Value
Exercise Restricted Stock Units 1,177 $0.00 --
Exercise Common Stock 1,177 $0.00 --
Sale Common Stock 117 $402.899 $47K
Sale Common Stock 12 $403.515 $5K
Exercise Restricted Stock Units 358 $0.00 --
Exercise Common Stock 358 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 2,358 shares (Direct); Common Stock — 14,246 shares (Direct); Common Stock — 5.566 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 $402.32 to $403.28. 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.
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*
Nardecchia Christopher
(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)
SVP, Chief Information 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 358 A $0 13,069 D
Common Stock 12/05/2025 M 1,177 A $0 14,246 D
Common Stock 12/05/2025 S(1) 117 D $402.899(2) 14,129 D
Common Stock 12/05/2025 S(1) 12 D $403.515 14,117 D
Common Stock 5.566(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 358 12/04/2024(5) 12/04/2026 Common Stock 358 $0 358 D
Restricted Stock Units (4) 12/05/2025 M 1,177 12/05/2025(5) 12/05/2027 Common Stock 1,177 $0 2,358 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 12/4/2025.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.32 to $403.28. 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.
Remarks:
Danielle White, Attorney-in-fact for Christopher Nardecchia 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 transactions did Rockwell Automation (ROK) report for Christopher Nardecchia?

Christopher Nardecchia, Rockwell Automation's SVP and chief information officer, reported the conversion of previously granted restricted stock units into common stock on December 4 and 5, 2025, followed by small sales of common stock on December 5, 2025.

How many Rockwell Automation (ROK) shares did the officer sell and at what prices?

On December 5, 2025, Nardecchia sold 117 shares at a weighted average price of $402.899 and 12 shares at $403.515, with the weighted average sale prices reflecting trades in the range of $402.32 to $403.28.

Why were Rockwell Automation (ROK) shares sold in this Form 4 filing?

The filing states that the sale of shares was made under a Rule 10b5‑1 trading plan entered into on November 27, 2024 to cover taxes due on restricted stock units that vested on December 4, 2025.

What are the details of the restricted stock units reported by the Rockwell Automation (ROK) insider?

Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. Units reported in this filing vest in three substantially equal annual installments beginning on the date they first become exercisable.

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

Following the reported transactions, Nardecchia beneficially owned 14,117 shares of Rockwell Automation common stock directly, plus approximately 5.566 shares indirectly through the company savings plan.

What is the role of the reporting person in Rockwell Automation (ROK)?

The reporting person is an officer of Rockwell Automation, serving as senior vice president and chief information officer.

Was a Rule 10b5-1 trading plan used for the Rockwell Automation (ROK) stock sales?

Yes. The filing notes that the sales were made pursuant to a Rule 10b5‑1 plan entered into on November 27, 2024, intended to satisfy the affirmative defense conditions of Rule 10b5‑1(c).