Form 4: Rockwell Automation Exec Sells Shares After RSU Vesting

Rebecca W. House, SVP, CLO and Secretary at Rockwell Automation, reported the acquisition of common stock from vested restricted stock units and subsequent sale of shares to cover tax obligations under a Rule 10b5-1 plan.

Summary

• Rebecca W. House, SVP, CLO and Secretary of Rockwell Automation, Inc. (ROK), reported insider transactions.
• Acquired 787 shares of common stock on December 4, 2025, resulting from the vesting of Restricted Stock Units (RSUs).
• Acquired 740 shares of common stock on December 5, 2025, also from the vesting of RSUs.
• Sold 313 shares of common stock on December 5, 2025, at a weighted average price of $402.816 per share, with prices ranging from $402.30 to $403.23.
• Sold an additional 58 shares of common stock on December 5, 2025, at a weighted average price of $403.3497 per share, with prices ranging from $403.30 to $403.46.
• The sales were executed pursuant to a Rule 10b5-1 plan established on November 27, 2024, specifically to cover taxes due on the vested restricted stock units.
• Following these transactions, direct beneficial ownership of common stock stands at 10,628 shares.
• Indirect beneficial ownership includes 51.0786 shares via a Company Savings Plan and 26.673 Common Stock Share Equivalents via a Nonqualified Savings Plan, both as of September 30, 2025.

Sentiment

Score: 5

Explanation: The filing reports routine insider transactions involving the vesting of restricted stock units and subsequent sales to cover tax liabilities, which are pre-planned and expected events for executive compensation.

Positives

• The vesting of Restricted Stock Units indicates a component of executive compensation being realized.
• Transactions were conducted under a pre-established Rule 10b5-1 plan, demonstrating planned and transparent insider trading activity.

Negatives

• A reduction in direct beneficial ownership of common stock due to sales, even if for tax purposes.

Future Outlook

NA

Management Comments

• Sales of shares were made pursuant to a Rule 10b5-1 plan entered into on November 27, 2024, to cover taxes due on restricted stock units that vested on December 4, 2025.

Industry Context

NA

Stakeholder Impact

• Minor impact on shareholders due to routine insider stock sales for tax purposes, which are common and expected and do not signal a change in company fundamentals.

Key Dates

Recommendation

This Form 4 filing details routine insider transactions, specifically the vesting of restricted stock units and subsequent sales to cover tax obligations, executed under a pre-established 10b5-1 plan. Such transactions are common for executive compensation and do not typically indicate a change in the company's fundamental outlook or warrant a shift in investment strategy based solely on this report.

Keywords

Rockwell Automation, ROK, Form 4, insider transaction, stock sale, restricted stock units, RSU vesting, 10b5-1 plan, executive compensation