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Rockwell Automation (ROK) VP Controller files Form 4 on RSU vesting and share sale

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

Rhea-AI Filing Summary

Rockwell Automation, Inc. executive Form 4 discloses equity transactions by Vice President and Controller Terry L. Riesterer. On 12/04/2025 and 12/05/2025, restricted stock units were converted into 150 and 134 shares of common stock at an exercise price of $0 per share, reflecting previously granted equity that vested.

On 12/05/2025, Riesterer sold 50 shares at a weighted average price of $402.7998 and 10 shares at a weighted average price of $403.336, in transactions noted as pursuant to a Rule 10b5-1 trading plan entered into on 11/20/2024 to cover taxes due on vested restricted stock units. After these transactions, Riesterer beneficially owns 1,837 shares of Rockwell Automation common stock directly, plus 628.1656 shares through a company savings plan and 28.79 common stock share equivalents through a nonqualified savings plan.

Positive

  • None.

Negative

  • None.
Insider Riesterer Terry L.
Role Vice President and Controller
Sold 60 shs ($24K)
Type Security Shares Price Value
Exercise Restricted Stock Units 134 $0.00 --
Exercise Common Stock 134 $0.00 --
Sale Common Stock 50 $402.7998 $20K
Sale Common Stock 10 $403.336 $4K
Exercise Restricted Stock Units 150 $0.00 --
Exercise Common Stock 150 $0.00 --
holding Common Stock Share Equivalents -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 270 shares (Direct); Common Stock — 1,897 shares (Direct); Common Stock Share Equivalents — 28.79 shares (Indirect, By nonqualified savings plan); Common Stock — 628.166 shares (Indirect, By Savings Plan)
Footnotes (1)
  1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/20/2024 to cover taxes due on restricted stock units that vested on 12/4/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.32 to $403.1550. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.32 to $403.36. 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 9/30/2025. 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. Each unit is the economic equivalent of one share of Company common stock. The share equivalents are payable in cash upon retirement or after termination of employment. Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 9/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund 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.
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).
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*
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)
12/04/2025
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
Common Stock 12/04/2025 M 150 A $0 1,763 D
Common Stock 12/05/2025 M 134 A $0 1,897 D
Common Stock 12/05/2025 S(1) 50 D $402.7998(2) 1,847 D
Common Stock 12/05/2025 S(1) 10 D $403.336(3) 1,837 D
Common Stock 628.1656(4) I By 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (5) 12/04/2025 M 150 12/04/2024(6) 12/04/2026 Common Stock 150 $0 151 D
Restricted Stock Units (5) 12/05/2025 M 134 12/05/2025(6) 12/05/2027 Common Stock 134 $0 270 D
Common Stock Share Equivalents (7) (8) (8) Common Stock 28.79(9) 28.79 I By nonqualified savings plan
Explanation of Responses:
1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/20/2024 to cover taxes due on restricted stock units that vested on 12/4/2025.
2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.32 to $403.1550. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.32 to $403.36. 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.
4. 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 9/30/2025. 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.
5. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
6. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
7. Each unit is the economic equivalent of one share of Company common stock.
8. The share equivalents are payable in cash upon retirement or after termination of employment.
9. Includes share equivalents represented by Company stock fund units acquired under the Company's Nonqualified Savings Plan since the date last reported for this person based on information provided by the Plan Administrator as of 9/30/2025. The number of stock fund units represented by the balance of the participant's Company stock fund 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.
Remarks:
Danielle White, Attorney-in-fact for Terry L. Riesterer 12/05/2025
** 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 insider activity did Rockwell Automation (ROK) report in this Form 4?

The Form 4 reports that Terry L. Riesterer, Rockwell Automation’s Vice President and Controller, had restricted stock units convert into shares and sold a small number of common shares in early December 2025. These trades involved both the exercise of equity awards and open-market sales.

How many Rockwell Automation (ROK) shares did the executive acquire and sell?

Riesterer acquired 150 shares of Rockwell Automation common stock on 12/04/2025 and 134 shares on 12/05/2025 through the conversion of restricted stock units at an exercise price of $0. On 12/05/2025, Riesterer sold 50 shares at a weighted average price of $402.7998 and 10 shares at a weighted average price of $403.336.

Was the Rockwell Automation (ROK) insider transaction under a Rule 10b5-1 plan?

Yes. The filing explains that the sale of shares was made pursuant to a Rule 10b5-1 plan entered into on 11/20/2024. The plan covered sales to pay taxes due on restricted stock units that vested on 12/04/2025.

How many Rockwell Automation (ROK) shares does the reporting person own after these transactions?

Following the reported transactions, Riesterer beneficially owns 1,837 Rockwell Automation common shares directly. In addition, the filing shows 628.1656 shares represented by company stock fund units in a Company Savings Plan and 28.79 common stock share equivalents in a Nonqualified Savings Plan.

What do the restricted stock units (RSUs) in this Rockwell Automation (ROK) Form 4 represent?

The Form 4 notes that each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. The RSUs referenced in the transactions vest in three substantially equal annual installments beginning on the stated exercisable date.

How are Rockwell Automation (ROK) stock fund units and share equivalents treated for the executive?

The filing explains that stock fund units in the Company Savings Plan represent interests tied to Rockwell Automation stock, with balances based on information as of 09/30/2025. The common stock share equivalents in the Nonqualified Savings Plan are the economic equivalent of one share each and are payable in cash upon retirement or after termination of employment.