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Rockwell Automation (ROK) CFO awarded stock options and RSUs under 2020 plan

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

Rhea-AI Filing Summary

Rockwell Automation reported an equity award for its Senior Vice President and Chief Financial Officer, Christian E. Rothe, in a Form 4 filing. On December 8, 2025, he received employee stock options to buy 11,523 shares of Rockwell Automation common stock at an exercise price of $402.22 per share. These options were granted under the company’s 2020 Long-Term Incentive Plan and are scheduled to vest in three substantially equal annual installments beginning on December 8, 2026, continuing through December 8, 2035 as the option term.

On the same date, Rothe was also granted 3,357 restricted stock units, each representing a contingent right to receive one share of Rockwell Automation common stock. These RSUs were also awarded under the 2020 Long-Term Incentive Plan and vest in three substantially equal annual installments starting on December 8, 2026 and ending on December 8, 2028. Following these awards, the Form 4 shows Rothe holding all of these derivative securities as direct ownership.

Positive

  • None.

Negative

  • None.

Insights

Routine equity grants align Rockwell Automation’s CFO pay with long-term share performance.

The filing describes standard long-term incentive awards for Rockwell Automation’s Senior VP and CFO, Christian E. Rothe. He received employee stock options on December 8, 2025 for 11,523 shares at an exercise price of $402.22, plus 3,357 restricted stock units, all under the 2020 Long-Term Incentive Plan.

Both awards vest in three substantially equal annual installments beginning on December 8, 2026, with the options expiring on December 8, 2035. This structure encourages the executive to remain with the company and focus on longer-term share performance, because value from options only arises if the share price exceeds $402.22 and RSUs require continued service through the vesting dates.

The impact on existing shareholders depends on company-wide plan usage and total shares outstanding, which are not detailed here. Based on the information given, this appears to be a routine, plan-based compensation action rather than a transformative event, so its direct effect on an overall investment thesis is limited.

Insider Rothe Christian E
Role Sr. VP and CFO
Type Security Shares Price Value
Grant/Award Employee Stock Option (Right to Buy) 11,523 $0.00 --
Grant/Award Restricted Stock Units 3,357 $0.00 --
Holdings After Transaction: Employee Stock Option (Right to Buy) — 11,523 shares (Direct); Restricted Stock Units — 3,357 shares (Direct)
Footnotes (1)
  1. Awarded under the Company's 2020 Long-Term Incentive Plan. The options vest in three substantially equal annual installments beginning on date exercisable. 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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).
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*
Rothe Christian E
(Last) (First) (Middle)
1201 S. 2ND STREET
(Street)
MILWAUKEE WI 53204
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ROCKWELL AUTOMATION, INC [ ROK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr. VP and CFO
3. Date of Earliest Transaction (Month/Day/Year)
12/08/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $402.22 12/08/2025 A(1) 11,523 12/08/2026(2) 12/08/2035 Common Stock 11,523 $0 11,523 D
Restricted Stock Units (3) 12/08/2025 A(1) 3,357 12/08/2026(4) 12/08/2028 Common Stock 3,357 $0 3,357 D
Explanation of Responses:
1. Awarded under the Company's 2020 Long-Term Incentive Plan.
2. The options vest in three substantially equal annual installments beginning on date exercisable.
3. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
4. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
Remarks:
Danielle White, Attorney-In-Fact for Christian E. Rothe 12/10/2025
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Rockwell Automation (ROK) disclose in this Form 4 filing?

The filing reports routine equity compensation awards to Senior VP and CFO Christian E. Rothe in the form of stock options and restricted stock units granted on December 8, 2025.

How many stock options did the Rockwell Automation (ROK) CFO receive?

Christian E. Rothe received employee stock options covering 11,523 shares of Rockwell Automation common stock at an exercise price of $402.22 per share.

When do the Rockwell Automation CFO stock options vest and expire?

The options vest in three substantially equal annual installments beginning on December 8, 2026 and have an expiration date of December 8, 2035.

What restricted stock units were granted to the Rockwell Automation (ROK) CFO?

He was granted 3,357 restricted stock units, each representing a contingent right to receive one share of Rockwell Automation common stock, under the 2020 Long-Term Incentive Plan.

How do the Rockwell Automation CFO’s RSUs vest over time?

The 3,357 RSUs vest in three substantially equal annual installments starting on December 8, 2026 and ending on December 8, 2028.

Is this Rockwell Automation (ROK) Form 4 filing a major corporate event?

Based on the information provided, this is a routine insider compensation disclosure detailing equity awards to a senior executive, not a major corporate transaction.