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ROK Insider Filing: VP/Controller Receives 329 Performance Shares

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

Rhea-AI Filing Summary

Rockwell Automation (ROK) reporting person Terry L. Riesterer, Vice President and Controller, received 329 performance shares arising from a grant made on 12/09/2022. The reported acquisition date is 10/01/2025 and the award has a $0 per-share price because these are performance-contingent equity awards. Payout was determined at the end of the three-year performance period based on the company’s total shareholder return versus the S&P 500, with the grant allowing a payout range of 0% to 200% of target. The performance shares vest on 12/09/2025 provided the reporting person remains employed on that date. The Form 4 was signed by an attorney-in-fact on 10/03/2025.

Positive

  • Performance-based equity delivered: 329 performance shares awarded vesting 12/09/2025
  • Compensation tied to TSR vs S&P 500 with a payout range of 0%–200%, aligning pay with long-term shareholder returns

Negative

  • None.

Insights

Insider received 329 vested performance shares tied to a 3-year TSR metric.

The filing shows a non-cash acquisition of 329 performance shares by the company’s Vice President and Controller, with the payout derived from a target grant dated 12/09/2022. The award was settled at the end of the three-year performance period and is subject to continued employment through 12/09/2025.

This is standard executive compensation disclosure: it documents equity delivery under the company’s performance plan and does not itself indicate additional cash outflow or change company guidance. The metric used—total shareholder return versus the S&P 500 over three years—is explicitly disclosed in the filing.

Insider Riesterer Terry L.
Role Vice President and Controller
Type Security Shares Price Value
Grant/Award Performance Shares 329 $0.00 --
Holdings After Transaction: Performance Shares — 329 shares (Direct)
Footnotes (1)
  1. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). On December 9, 2022, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
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*
Riesterer Terry L.
(Last) (First) (Middle)
1201 SOUTH SECOND 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)
Vice President and Controller
3. Date of Earliest Transaction (Month/Day/Year)
10/01/2025
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
Performance Shares (1) 10/01/2025 A 329(2) (3) 12/09/2025 Common Stock 329 $0 329 D
Explanation of Responses:
1. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
2. On December 9, 2022, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received.
3. Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 9, 2025, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions.
Remarks:
Danielle White, Attorney-in-fact for Terry L. Riesterer 10/03/2025
** 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 Terry L. Riesterer report on the Form 4 for ROK?

The Form 4 reports that Terry L. Riesterer, Vice President and Controller, acquired 329 performance shares with an acquisition date of 10/01/2025 and a price of $0 per share.

When do the performance shares vest for ROK insider Riesterer?

The performance shares vest on 12/09/2025 provided the reporting person remains employed on that date.

How was the payout for the performance shares determined?

The payout was calculated at the end of a three-year period and is based on Rockwell Automation’s total shareholder return compared to companies in the S&P 500, with a payout range of 0% to 200% of target.

What is the significance of the reported price of $0?

The $0 price reflects that these were performance-contingent awards (not a cash purchase); each performance share represents a contingent right to receive one share or cash equivalent.

Who signed the Form 4 and when?

The Form 4 was signed by Danielle White, attorney-in-fact for Terry L. Riesterer, on 10/03/2025.