ROK Form 144: 1,200 Shares Reported

Rockwell Automation filed a Form 144 notice reporting the proposed sale of 1,200 shares related to an employee stock option exercise and a broker payment for a cashless exercise.

Rhea-AI Filing Summary

Rockwell Automation filed a Form 144 notice reporting the proposed sale of 1,200 shares related to an employee stock option exercise and a broker payment for a cashless exercise. The filing lists a transaction date of 04/13/2026 and an earlier sale record on 02/25/2026 showing 1,200 shares for $485,050.00.

Key Figures

Shares reported: 1,200 shares Proceeds (prior sale): $485,050.00 Amount shown near header: $480,000.00 +1 more

4 metrics

Shares reported 1,200 shares Proposed sale tied to employee option exercise on 04/13/2026

Proceeds (prior sale) $485,050.00 Sale record dated 02/25/2026 for 1,200 shares

Amount shown near header $480,000.00 Monetary entry in the securities header

Filing date / transaction date 04/13/2026 Date associated with the employee stock option exercise entry

Key Terms

Form 144, cashless exercise, Employee Stock Option Exercise, broker payment

4 terms

Form 144 regulatory

"Common | Charles Schwab & Co., Inc. ... 04/13/2026 | Employee Stock Option Exercise"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

cashless exercise financial

"Broker Payment for Cashless Exercise"

A cashless exercise is a way for an option holder to convert stock options into actual shares without paying the purchase price in cash; instead they immediately give up a portion of the newly issued shares to cover the cost and any withholding taxes. Investors care because this process increases the number of shares available and can slightly dilute existing holdings, while also signaling how insiders or employees are realizing compensation without needing cash — similar to paying for a purchase by handing over part of what you just bought.

Employee Stock Option Exercise financial

"04/13/2026 | Employee Stock Option Exercise"

broker payment financial

"Broker Payment for Cashless Exercise"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Rockwell Automation's (ROK) Form 144 report show?

The Form 144 reports a proposed sale of 1,200 shares tied to an employee stock option exercise and a broker cashless payment on 04/13/2026. It also lists a prior sale record of 1,200 shares for $485,050.00 dated 02/25/2026.

Who is listed as the seller in the ROK Form 144 filing?

Matthew W. Fordenwalt is identified with an address in Milwaukee and is associated with a sale record dated 02/25/2026 showing 1,200 shares and proceeds of $485,050.00. The Form 144 names the filer and transaction details.

What transaction type is described in the Rockwell Automation (ROK) filing?

The filing describes an Employee Stock Option Exercise settled via a broker payment for a cashless exercise. The record shows the mechanism rather than open-market trade details; pricing and timing are reported in the filing entries.

Does the Form 144 filing state the exact proceeds for the proposed sale?

The filing includes monetary entries: one line shows $480,000.00 near the security header and a prior sale line shows $485,050.00 for 1,200 shares on 02/25/2026. Values are reported as part of the filing entries.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/13/2026 - 04:04 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001979295
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ROCKWELL AUTOMATION, INC
SEC File Number	001-12383
Address of Issuer	1201 SOUTH 2ND STREET MILWAUKEE WISCONSIN 53204
Phone	414-382-2000
Name of Person for Whose Account the Securities are To Be Sold	Fordenwalt Matthew W.
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	1200	480000.00	112357908	04/13/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	04/13/2026	Employee Stock Option Exercise	Rockwell Automation, Inc.			1200	04/13/2026	Broker Payment for Cashless Exercise

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Matthew W. Fordenwalt 1201 SOUTH 2ND STREET MILWAUKEE WI 53204	ROCKWELL AUTOMATION, INC	02/25/2026	1200	485050.00

144: Remarks and Signature

Remarks	The Shares covered by this form 144 are being sold pursuant to a 10b51 trading plan dated 11.26.2025, which plan is intended to comply with Rule 10b51 and the representation regarding seller's lack of knowledge of material non-public information as of the date of the trading plan.
Date of Notice	04/13/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/26/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Matthew W. Fordenwalt
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)