Company: ROK
Filing Date: 2025-02-10
Form Type: 10-Q
Source: 0001024478-25-000010
Chunk: 45

Company: ROCKWELL AUTOMATION, INC
Filing Date: 2025-02-10
Form: 10-Q
Item: Part II, Item 1A
Chunk 45
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) the number of long shares of the Company's common stock having a value of up to $350,000 and (ii) the number of shares of the Company’s common stock required to be sold to cover taxes on upcoming restricted stock unit and performance share vests.•Christopher Nardecchia, Senior Vice President and Chief Information Officer, adopted a Rule 10b5-1 trading arrangement on November 27, 2024, that will terminate on the earlier of December 31, 2025, or the execution of all trades in the trading arrangement. Mr. Nardecchia’s trading arrangement covers the (i) exercise of up to 7,500 stock options and the sale of the underlying shares of the Company's common stock, and (ii) sale of the number of shares of the Company’s common stock required to be sold to cover taxes on upcoming restricted stock unit and performance share vests.•Terry L. Riesterer, Vice President and Controller, adopted a Rule 10b5-1 trading arrangement on November 27, 2024, that will terminate on the earlier of December 31, 2025, or the execution of all trades in the trading arrangement. Mr. Riesterer’s trading arrangement covers (i) the sale of 600 long shares of the Company’s common stock, (ii) exercise of 4,000 stock options and the sale of the underlying shares of the Company's common stock, and (iii) the sale of the number of shares of the Company’s common stock required to be sold to cover taxes on upcoming restricted stock unit and performance share vests.

For the arrangements above referencing transactions to sell shares to cover taxes on vests, the aggregate number of shares to be sold pursuant to each trading arrangement described above is dependent on the taxes on the applicable restricted stock unit and performance share vests, and, therefore, is indeterminable at this time.

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Table of Contents

During the quarter ended December 31, 2024, no director or officer of the Company adopted or terminated a “non-Rule 10b5-1 trading arrangement,” as defined in Item 408 of Regulation S-K, no director of the Company adopted or terminated a Rule 10b5-1 trading arrangement, and no officer of the Company terminated a Rule 10b5-1 trading arrangement.

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Item 6. Exhibits

(a) Exhibits: 

Exhibit 15—Letter of Deloitte & Touche LLP regarding Unaudited Financial Information.Ex