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Rockwell Automation (ROK) SVP sells shares, exercises 595 RSUs

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider Fordenwalt Matthew W.
Role SVP Lifecycle Services
Sold 218 shs ($99K)
Type Security Shares Price Value
Sale Common Stock 218 $456.34 $99K
Exercise Restricted Stock Units 595 $0.00 --
Exercise Common Stock 595 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 4,814 shares (Direct, null); Restricted Stock Units — 0 shares (Direct, null); Common Stock — 70.072 shares (Indirect, By Savings Plan)
Footnotes (1)
  1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2025 to cover taxes due on restricted stock units that vested on 6/1/2026. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $456.14 to $457.01. 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. 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 3/31/2026. 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. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
Shares sold 218 shares Open-market sale of common stock
Sale price $456.34/share Weighted average sale price
RSUs exercised 595 units Restricted stock units converted to common shares
Direct holdings after 4,814 shares Common stock held directly post-transaction
Indirect holdings after 70.072 shares Company Savings Plan stock fund units
Net buy/sell shares -218 shares Net share change from buy/sell activity
Rule 10b5-1 plan financial
"Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2025 to cover taxes due on restricted stock units"
A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.
restricted stock unit financial
"Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock."
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
Company Savings Plan financial
"Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a 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). See Instruction 10.
1. Name and Address of Reporting Person*
Fordenwalt Matthew W.
(Last)(First)(Middle)
1201 S 2ND STREET
(Street)
MILWAUKEE WISCONSIN 53204
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC [ ROK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP Lifecycle Services
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/01/2026M595A$05,032D
Common Stock06/02/2026S(1)218D$456.34(2)4,814D
Common Stock70.072(3)IBy Savings Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(4)06/01/2026M59506/01/2024(5)06/01/2026Common Stock595$00D
Explanation of Responses:
1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2025 to cover taxes due on restricted stock units that vested on 6/1/2026.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $456.14 to $457.01. 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.
3. 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 3/31/2026. 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.
4. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
5. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
Remarks:
Danielle White, By Power of Attorney for Matthew W. Fordenwalt06/03/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Rockwell Automation (ROK) SVP Matthew Fordenwalt report?

Matthew Fordenwalt reported exercising 595 restricted stock units into common shares and selling 218 shares in an open-market transaction. These actions adjusted his equity position while maintaining a meaningful remaining shareholding in Rockwell Automation.

At what price did the Rockwell Automation (ROK) SVP sell shares?

He sold 218 Rockwell Automation common shares at a weighted average price of $456.34 per share. A footnote notes individual sale prices ranged from $456.14 to $457.01, with full trade details available upon request from the company or the SEC.

Why were Rockwell Automation (ROK) shares sold by the SVP under a Rule 10b5-1 plan?

The filing states the 218-share sale occurred under a pre-arranged Rule 10b5-1 plan entered on 11/26/2025 to help cover taxes due on restricted stock units that vested on 6/1/2026, indicating a planned, tax-related transaction.

How many Rockwell Automation (ROK) shares does the SVP hold after these transactions?

Following the reported activity, Matthew Fordenwalt holds 4,814 Rockwell Automation common shares directly. He also has an additional 70.072 shares indirectly, represented by company stock fund units in the Company Savings Plan, based on plan administrator information.

What happened to the SVP’s restricted stock units in this Rockwell Automation (ROK) Form 4?

He exercised 595 restricted stock units, each representing a contingent right to one Rockwell Automation share, receiving 595 common shares. A footnote explains these units vest in three substantially equal annual installments beginning on their exercisable date.

How does the Rockwell Automation (ROK) Company Savings Plan affect the SVP’s holdings?

The filing shows 70.072 shares held indirectly via Company stock fund units in the Savings Plan. The footnote notes unit counts can differ over time due to changes in uninvested cash proportions used to determine stock fund unit values.