Rockwell Automation (ROK) SVP exercises options and sells 1,200 shares under 10b5-1

Rhea-AI Filing Summary

Rockwell Automation SVP Matthew W. Fordenwalt, SVP Lifecycle Services, reported option exercises and share sales in Rockwell Automation, Inc. common stock. On February 25, 2026, he exercised an Employee Stock Option for 1,200 shares at a price of $0.0000 per share, converting into 1,200 shares of common stock at an exercise price of $196.4300 per share.

That same day, he executed open-market sales totaling 1,200 shares of common stock in multiple trades, including 155 shares at $402.1089, 280 shares at $403.2057, 405 shares at $404.1589, 280 shares at $405.6029, and two blocks of 40 shares at $406.4200 and $407.9000. A footnote states the shares were “exercised and sold pursuant to Rule 10b5-1 plan entered into on 11/26/2025.” After these transactions, he directly owned 4,437 common shares and indirectly held 68.085 shares through the company savings plan.

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
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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 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)
	SVP Lifecycle Services

3. Date of Earliest Transaction (Month/Day/Year)
02/25/2026

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	02/25/2026		M		1,200	A	$196.43	5,637	D
Common Stock	02/25/2026		S(1)		155	D	$402.1089(2)	5,482	D
Common Stock	02/25/2026		S(1)		280	D	$403.2057(3)	5,202	D
Common Stock	02/25/2026		S(1)		405	D	$404.1589(4)	4,797	D
Common Stock	02/25/2026		S(1)		280	D	$405.6029(5)	4,517	D
Common Stock	02/25/2026		S(1)		40	D	$406.42	4,477	D
Common Stock	02/25/2026		S(1)		40	D	$407.9	4,437	D
Common Stock								68.085(6)	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
Employee Stock Option (Right to Buy)	$196.43	02/25/2026		M			1,200	12/05/2020(7)	12/05/2029	Common Stock	1,200	$0	1,200	D

Explanation of Responses:

1. Shares exercised and sold pursuant to Rule 10b5-1 plan entered into on 11/26/2025.

2. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $401.6650 to $402.55. 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 $402.82 to $403.6850. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.95 to $404.3850. 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.

5. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $405.3450 to $406.00. 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.

6. 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 12/31/2025. 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.

7. The option vests in three substantially equal annual installments beginning on the date exercisable.

Remarks:

	Danielle White, By Power of Attorney for Matthew W. Fordenwalt	02/27/2026
	** 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).
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FAQ

What did Rockwell Automation (ROK) executive Matthew Fordenwalt report on this Form 4?

Matthew W. Fordenwalt reported exercising stock options and selling Rockwell Automation common shares. He converted 1,200 options into 1,200 common shares, then sold 1,200 shares in multiple open-market trades on February 25, 2026 under a pre-established Rule 10b5-1 trading plan.

How many Rockwell Automation (ROK) options did Matthew Fordenwalt exercise?

He exercised 1,200 Employee Stock Options, described as a “Right to Buy.” These options converted into 1,200 shares of Rockwell Automation common stock at an exercise price of $196.4300 per share, with the option itself reported at a price of $0.0000 per option.

How many Rockwell Automation (ROK) shares did Matthew Fordenwalt sell and at what prices?

He sold a total of 1,200 Rockwell Automation common shares in several trades. Disclosed trades include 155 shares at $402.1089, 280 at $403.2057, 405 at $404.1589, 280 at $405.6029, and two blocks of 40 shares at $406.4200 and $407.9000.

Was Matthew Fordenwalt’s Rockwell Automation (ROK) stock sale under a Rule 10b5-1 plan?

Yes. A footnote states the shares were “exercised and sold pursuant to Rule 10b5-1 plan entered into on 11/26/2025.” Rule 10b5-1 plans pre-schedule trades, helping insiders sell shares over time under predetermined instructions.

How many Rockwell Automation (ROK) shares does Matthew Fordenwalt own after these transactions?

Following the reported transactions, he directly owned 4,437 Rockwell Automation common shares. He also indirectly held 68.085 shares through the company savings plan, based on information from the plan administrator as of December 31, 2025.

What does the Form 4 say about Matthew Fordenwalt’s indirect Rockwell Automation (ROK) holdings?

The filing notes 68.085 shares held indirectly “By Savings Plan.” A footnote explains these reflect company stock fund units under the company savings plan, based on the plan administrator’s data as of December 31, 2025, and unit counts can vary with underlying cash proportions.

What is Matthew Fordenwalt’s role at Rockwell Automation (ROK) mentioned in the Form 4?

The Form 4 lists Matthew W. Fordenwalt as an officer of Rockwell Automation with the title “SVP Lifecycle Services.” This indicates he is a senior vice president responsible for the company’s Lifecycle Services segment while reporting these insider equity transactions.