Terry L. Riesterer - Jul 15, 2025 Form 4 Insider Report for ROCKWELL AUTOMATION, INC (ROK)

Role
Vice President and Controller
Signature
Danielle White, Attorney-in-fact for Terry L. Riesterer
Stock symbol
ROK
Transactions as of
Jul 15, 2025
Transactions value $
-$830,730
Form type
4
Date filed
7/17/2025, 06:43 PM
Previous filing
May 12, 2025
Next filing
Oct 3, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Riesterer Terry L. Vice President and Controller 1201 SOUTH SECOND STREET, MILWAUKEE Danielle White, Attorney-in-fact for Terry L. Riesterer 2025-07-17 0001794668

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $360K +2.1K +203.29% $171.46 3.13K Jul 15, 2025 Direct
transaction ROK Common Stock Sale -$735K -2.1K -67.03% $350.08 1.03K Jul 15, 2025 Direct F1, F2
transaction ROK Common Stock Options Exercise $0 +849 +82.19% $0.00 1.88K Jul 16, 2025 Direct
transaction ROK Common Stock Sale -$95.6K -269 -14.29% $355.26 1.61K Jul 17, 2025 Direct F3, F4
holding ROK Common Stock 626 Jul 15, 2025 By Savings Plan F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ROK Employee Stock Option (Right to Buy) Options Exercise -$360K -2.1K -100% $171.46 0 Jul 15, 2025 Common Stock 2.1K $171.46 Direct
transaction ROK Restricted Stock Units Options Exercise $0 -849 -33.32% $0.00 1.7K Jul 16, 2025 Common Stock 849 Direct F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

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).

Explanation of Responses:

Id Content
F1 Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on 11/20/2024.
F2 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $350 to $350.29. 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.
F3 Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/20/2024 to cover taxes due on restricted stock units that vested on 7/16/2025.
F4 Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $354.9550 to $355.4475. 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.
F5 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 6/30/2025. 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.
F6 Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F7 The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.