Rockwell SVP exercises options, sells 1,200 shares
Rockwell Automation senior vice president Matthew W. Fordenwalt exercised employee stock options for 1,200 shares of common stock at an exercise price of $196.43 per share and sold the 1,200 shares at $400.00 per share on the same date.
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Form Type
4
Rhea-AI Filing Summary
Rockwell Automation senior vice president Matthew W. Fordenwalt exercised employee stock options for 1,200 shares of common stock at an exercise price of $196.43 per share and sold the 1,200 shares at $400.00 per share on the same date.
The filing describes this as an option exercise and open-market sale sequence, carried out under a Rule 10b5-1 trading plan entered into on 11/26/2025. After the transactions, he holds 4,437 shares directly and 70.072 shares indirectly through the Company Savings Plan.
Insider Trade Summary 10b5-1
Exercise and Sale: 1,200 shares ($244K approx. pre-tax spread)
Exercise and Sale
4 txns
Insider
Fordenwalt Matthew W.
Role
SVP Lifecycle Services
Sold
1,200 shs ($480K)
Approx. gross sale proceeds
$480K
Approx. exercise cost
$236K
Approx. pre-tax spread
$244K
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Employee Stock Option (Right to Buy) | 1,200 | $0.00 | $0.00 |
| Exercise | Common Stock | 1,200 | $196.43 | $236K |
| Sale | Common Stock | 1,200 | $400.00 | $480K |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (Right to Buy) — 0 contracts (Direct);
Common Stock — 4,437 shares (Direct);
Common Stock — 70.072 shares (Indirect, By Savings Plan)
Footnotes (3)
- F1. Shares exercised and sold pursuant to Rule 10b5-1 trading plan entered into on 11/26/2025.
- F2. 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.
- F3. The options vest in three substantially equal annual installments beginning on date exercisable.
Key Figures
Options exercised: 1,200 options
Option exercise price: $196.43 per share
Sale price: $400.00 per share
+4 more
7 metrics
Options exercised
1,200 options
Employee stock options exercised on 04/13/2026
Option exercise price
$196.43 per share
Exercise price for 1,200 employee stock options
Sale price
$400.00 per share
Open-market sale price for 1,200 shares
Direct holdings after transaction
4,437 shares
Direct common stock owned following Form 4 transactions
Indirect savings plan holdings
70.072 shares
Company Savings Plan stock fund units as of 03/31/2026
Option exercisable date
12/05/2020
Date options first became exercisable
Option expiration date
12/05/2029
Scheduled expiration for the stock options before exercise
Key Terms
Employee Stock Option, Rule 10b5-1 trading plan, Company Savings Plan, stock fund units, +1 more
5 terms
Employee Stock Option financial
"Employee Stock Option (Right to Buy)"
An employee stock option is a promise that lets a worker buy company shares later at a predetermined price, often after they stay for a certain period or meet performance goals — think of it like a coupon that locks in today's price for a future purchase. It matters to investors because options align employees’ incentives with company performance, can increase the number of shares outstanding (dilution) when exercised, and represent a compensation cost that affects reported profits and shareholder value.
Rule 10b5-1 trading plan regulatory
"Shares exercised and sold pursuant to Rule 10b5-1 trading plan"
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
Company Savings Plan financial
"acquired under the Company Savings Plan since the date last reported"
stock fund units financial
"Includes shares represented by Company stock fund units acquired"
open-market sale financial
"Sale in open market or private transaction"
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What did Rockwell Automation (ROK) executive Matthew Fordenwalt do in this Form 4?
Matthew W. Fordenwalt exercised 1,200 employee stock options and sold 1,200 shares of Rockwell Automation common stock. The sequence combined an option exercise at $196.43 per share with an open-market sale at $400.00 per share on the same day.
How many Rockwell Automation (ROK) options did the SVP exercise and at what price?
He exercised 1,200 employee stock options with an exercise price of $196.43 per share. These options were originally exercisable beginning 12/05/2020 and were scheduled to expire on 12/05/2029, vesting in three substantially equal annual installments.
What happens to the employee stock options after this Rockwell Automation (ROK) exercise?
The filing shows the 1,200 stock options were fully exercised, leaving zero options from this grant outstanding. The options vested in three substantially equal annual installments and were originally scheduled to expire on 12/05/2029 before being exercised.
AI-generated analysis. How Rhea-AI works. Not financial advice.
