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ROCKWELL AUTOMATION, INC SEC Filings

ROK NYSE

Welcome to our dedicated page for ROCKWELL AUTOMATION SEC filings (Ticker: ROK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.

Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on ROCKWELL AUTOMATION's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.

Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into ROCKWELL AUTOMATION's regulatory disclosures and financial reporting.

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ROCKWELL AUTOMATION, INC (ROK) received a notice that officer Christian E. Rothe plans to sell 590 shares of common stock under Rule 144 through Charles Schwab & Co., Inc. The planned sale date is 08/20/2026, following a restricted stock lapse as equity compensation.

The shares are covered by a Rule 10b5-1 trading plan dated 11/25/2025, which is represented as being adopted while the seller lacked material non-public information. The filing lists an approximate market value of $256,237.00 for the shares.

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Rockwell Automation reported solid growth for the quarter and nine months ended June 30, 2026. Sales were $2,313 million for the quarter and $6,657 million year to date, increasing 8 percent and 10 percent, with organic sales up 10 percent and 9 percent; pricing contributed 1 and 3 percentage points to organic growth.

Pre-tax margin improved to 20.3 percent in the quarter and 18.8 percent year to date, while Enterprise operating margin reached 22.3 percent and 21.4 percent. Net income attributable to Rockwell Automation was $408 million for the quarter and $1,063 million year to date; diluted EPS was $3.65 and $9.44, with Adjusted EPS of $3.49 and $9.55, up 22 percent and 33 percent versus a year earlier.

Intelligent Devices sales rose 12 percent and Software & Control 19 percent in the quarter, both with higher segment operating margins. Lifecycle Services sales declined 12 percent but margin increased to 15.1 percent, helped by strong project execution and the April 1 dissolution of the Sensia joint venture, which generated a $20 million pre-tax gain. Operating cash flow of $1,278 million funded $179 million of capital expenditures, $464 million of dividends, and $754 million of share repurchases. The company highlighted inflation and BEPS Pillar Two tax headwinds, potential refunds of IEEPA tariffs, and a new New Berlin, Wisconsin manufacturing campus within a $2 billion multi-year investment in capacity and digital infrastructure.

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Rhea-AI Summary

Rockwell Automation reported strong third quarter fiscal 2026 results, with sales of $2,313 million, up 8% year over year and 10% on an organic basis. Income before income taxes rose to $470 million and pre-tax margin improved to 20.3% from 16.0%. Net income attributable to Rockwell Automation increased to $408 million, or diluted EPS of $3.65, up from $2.60, while Adjusted EPS grew 22% to $3.49. Adjusted EBITDA reached $565 million, and organic annual recurring revenue grew 6%, aided by the completed dissolution of the Sensia joint venture on April 1.

Intelligent Devices sales grew 12% to $1.1 billion and Software & Control sales grew 19% to $751 million, while Lifecycle Services sales declined 12% to $482 million but expanded margin to 15.1%. The company generated $724 million of operating cash flow and $654 million of free cash flow, and repurchased about 0.3 million shares for $145 million. For fiscal 2026, Rockwell updated guidance to reported and organic sales growth of 7.5%–9.5%, diluted EPS of $12.72–$13.02, and Adjusted EPS of $13.00–$13.30, above prior ranges issued May 5, 2026.

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Rockwell Automation vice president and controller Terry L. Riesterer reported an exercise of restricted stock units and a related stock sale dated 2026-07-16.

He exercised 849 restricted stock units into common stock and sold 281 shares at $453.235 per share under a Rule 10b5-1 plan entered on 5/30/2025 to cover taxes due on units that vested on 7/16/2026. After these transactions he holds 1,602 shares of common stock directly, 632.5229 shares indirectly through the Company Savings Plan, and 850 restricted stock units, each representing one share of common stock.

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Rockwell Automation, Inc. insider Terry L. Riesterer filed to sell up to 281 shares of common stock, with an indicated value of $127,359.00, through Charles Schwab on or after July 17, 2026, following a restricted stock lapse under an equity compensation award.

The filing also notes a prior sale of 4,024 shares of Rockwell Automation common stock on May 7, 2026 for proceeds of $1,818,722.00.

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Gipson William P reported acquisition or exercise transactions in this Form 4 filing.

Rockwell Automation director William P. Gipson received a grant of 69 restricted stock units as compensation for his service on the board under the company’s 2026 Long-Term Incentives Plan. Each unit represents a contingent right to receive one share of Rockwell Automation common stock, payable upon retirement, a change of control, or certain other circumstances. Following this award, Gipson directly holds 5,662 restricted stock units in total.

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Rockwell Automation SVP Lifecycle Services Matthew W. Fordenwalt reported an open-market sale of company stock. He sold 377 shares of Common Stock at an average price of $460.51 per share in a transaction classified as an open-market sale pursuant to a Rule 10b5-1 plan entered into on 11/26/2025. After this sale, he held 4,437 Common Stock shares directly and 70.0720 shares represented by company stock fund units under the Company Savings Plan based on information from the plan administrator as of 3/31/2026.

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Rockwell Automation insider notice: planned sale and recent dispositions. A Form 144 lists a proposed sale of Common stock tied to a Restricted Stock Lapse dated 06/01/2026. The filing also reports three dispositions by Matthew W. Fordenwalt during the prior three months: 1,200, 600, and 218 shares on 04/13/2026, 05/05/2026, and 06/02/2026, respectively.

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Rockwell Automation SVP Matthew W. Fordenwalt reported several equity transactions. He exercised 595 restricted stock units, receiving the same number of common shares, and then sold 218 shares in an open-market trade at a weighted average price of $456.34. The sale was made under a pre-arranged Rule 10b5-1 plan to cover taxes on vested RSUs. After these moves, he holds 4,814 common shares directly and 70.072 shares indirectly through the Company Savings Plan.

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Rockwell Automation filings report notices of proposed sales under Rule 144 by Matthew W. Fordenwalt. The excerpt lists two completed sales in the past three months: 1,200 shares sold on 04/13/2026 for $480,000.00 and 600 shares sold on 05/05/2026 for $269,749.00. A separate entry shows restricted stock lapse dated 06/02/2026.

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FAQ

How many ROCKWELL AUTOMATION (ROK) SEC filings are available on StockTitan?

StockTitan tracks 178 SEC filings for ROCKWELL AUTOMATION (ROK), including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and Form 4 insider trading disclosures. Each filing includes AI-generated summaries, impact scoring, and sentiment analysis.

When was the most recent SEC filing for ROCKWELL AUTOMATION (ROK)?

The most recent SEC filing for ROCKWELL AUTOMATION (ROK) was filed on August 20, 2026.