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Rockwell Automation CEO sells 61,700 shares after option exercise

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

Rockwell Automation (ROK): President and CEO Blake D. Moret reported a pre‑planned transaction under a Rule 10b5‑1 trading plan. On 11/06/2025, he exercised employee stock options for 61,700 shares at an exercise price of $136.4 per share and sold the same number of shares in multiple trades.

Weighted average sale prices disclosed include $390.6211 (range $390.00–$390.79), $391.6984 (range $391.36–$391.87), and a trade at $392.4. Following these transactions, indirect holdings by a Family Trust were 83,873 shares. The filing also notes 165.5327 shares represented by company stock fund units in the Savings Plan as of 9/30/2025.

Positive

  • None.

Negative

  • None.
Insider Moret Blake D.
Role President and CEO
Sold 61,700 shs ($24.16M)
Type Security Shares Price Value
Exercise Employee Stock Option (Right to Buy) 61,700 $0.00 --
Exercise Common Stock 61,700 $136.40 $8.42M
Sale Common Stock 7,873 $390.6211 $3.08M
Sale Common Stock 53,780 $391.6984 $21.07M
Sale Common Stock 47 $392.40 $18K
holding Common Stock -- -- --
Holdings After Transaction: Employee Stock Option (Right to Buy) — 0 shares (Direct); Common Stock — 145,573 shares (Indirect, By Family Trust)
Footnotes (1)
  1. Shares exercised and sold pursuant to a Rule 10b5-1 trading plan enter into on 5/30/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $390.00 to $390.79. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $391.36 to $391.87. 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.
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*
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)
11/06/2025
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 11/06/2025 M 61,700 A $136.4 145,573 I By Family Trust
Common Stock 11/06/2025 S(1) 7,873 D $390.6211(2) 137,700 I By Family Trust
Common Stock 11/06/2025 S(1) 53,780 D $391.6984(3) 83,920 I By Family Trust
Common Stock 11/06/2025 S(1) 47 D $392.4 83,873 I By Family Trust
Common Stock 165.5327(4) 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) $136.4 11/06/2025 M 61,700 12/06/2017 12/06/2026 Common Stock 61,700 $0 0 D
Explanation of Responses:
1. Shares exercised and sold pursuant to a Rule 10b5-1 trading plan enter into on 5/30/2025.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $390.00 to $390.79. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $391.36 to $391.87. 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
4. 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.
Remarks:
Danielle White, Attorney-in-Fact for Blake D. Moret 11/10/2025
** 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 ROK’s CEO transact on 11/06/2025?

He exercised employee stock options for 61,700 shares at $136.4 and sold 61,700 shares in multiple trades.

Were the ROK CEO’s trades pre‑planned?

Yes. The trades were made pursuant to a Rule 10b5‑1 trading plan entered into on 5/30/2025.

What sale prices were reported for the ROK CEO’s trades?

Weighted averages were $390.6211 (range $390.00–$390.79), $391.6984 (range $391.36–$391.87), and a trade at $392.4.

How many ROK shares does the Family Trust hold after the transactions?

Indirect holdings by the Family Trust were 83,873 shares following the reported sales.

What option grant was exercised by the ROK CEO?

An employee stock option with an exercise price of $136.4 for 61,700 underlying shares, originally expiring on 12/06/2026.

Does the filing mention plan holdings for the ROK CEO?

Yes. It notes 165.5327 shares represented by company stock fund units in the Savings Plan as of 9/30/2025.