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Rockwell (ROK) Insider Filing: 329 Shares Reported by VP Woods

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

Rhea-AI Filing Summary

Isaac Woods, Vice President and Treasurer of Rockwell Automation, Inc. (ROK), reported the receipt of 329 performance shares on 10/01/2025. The award reflects the payout of a performance-based grant originally awarded on 12/09/2022, which paid out based on the company’s total shareholder return versus the S&P 500 over a three-year performance period. The performance shares vest on 12/09/2025 provided Mr. Woods remains employed, and each performance share converts to one share of common stock (or cash equivalent). The reported transaction shows 329 shares acquired with a reported price of $0, and the shares are held directly by the reporting person following the transaction.

Positive

  • 329 performance shares vested and were acquired by the reporting person, increasing insider ownership
  • The payout was based on a pre-established performance grant from 12/09/2022, demonstrating use of long-term, performance-based compensation

Negative

  • None.

Insights

TL;DR: Insider award payout of 329 performance shares signals routine executive compensation vesting.

The filing documents the vesting and acquisition of 329 performance shares by Isaac Woods, Vice President and Treasurer, reflecting the calculated payout from a 12/09/2022 performance grant tied to total shareholder return vs the S&P 500 over three years. The shares were recorded as acquired on 10/01/2025 with a reported price of $0, consistent with a performance-based equity payout rather than an open-market purchase.

This is a standard disclosure for Section 16 reporting and is material to ownership records but does not by itself indicate a change in company control or a cash transaction by the insider.

Insider Woods Isaac
Role Vice President and Treasurer
Type Security Shares Price Value
Grant/Award Performance Shares 329 $0.00 --
Holdings After Transaction: Performance Shares — 329 shares (Direct)
Footnotes (1)
  1. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). On December 9, 2022, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
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).
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)
10/01/2025
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
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
Performance Shares (1) 10/01/2025 A 329(2) (3) 12/09/2025 Common Stock 329 $0 329 D
Explanation of Responses:
1. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
2. On December 9, 2022, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received.
3. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
Remarks:
Danielle White, Attorney-in-fact for Isaac Woods 10/03/2025
** 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 did Isaac Woods report on the Form 4 for ROK?

The filing reports that Isaac Woods, Vice President and Treasurer, acquired 329 performance shares on 10/01/2025 with a reported price of $0.

Why were performance shares awarded to Isaac Woods?

The performance shares were a payout from a grant awarded on 12/09/2022, with payout determined by Rockwell Automation’s total shareholder return versus the S&P 500 over a three-year period.

When do the performance shares vest?

The performance shares vest on 12/09/2025, provided the reporting person remains employed with the company on that date, subject to limited exceptions.

How many shares does Isaac Woods own after the transaction?

Following the reported transaction, the filing shows 329 shares beneficially owned by the reporting person related to this award.

Was cash used to acquire the reported shares?

No cash was reported; the transaction lists a price of $0, indicating conversion of performance awards rather than a purchased acquisition.