Terry L. Riesterer - 12 May 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
Issuer symbol
ROK
Transactions as of
12 May 2025
Net transactions value
-$387,104
Form type
4
Filing time
12 May 2025, 19:47:02 UTC
Previous filing
14 Feb 2025
Next filing
17 Jul 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 12 May 2025 0001794668

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROK Common Stock Options Exercise $373,217 +1,900 +116% $196.43 3,533 12 May 2025 Direct
transaction ROK Common Stock Sale $577,849 -1,900 -54% $304.13 1,633 12 May 2025 Direct F1, F2
transaction ROK Common Stock Sale $182,472 -600 -37% $304.12 1,033 12 May 2025 Direct F3
holding ROK Common Stock 625 12 May 2025 By Savings Plan F4

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 $0 -1,900 -79% $0.000000 500 12 May 2025 Common Stock 1,900 $196.43 Direct
* 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 $303.81 to $304.56. 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.
F4 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 3/31/2025. 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.