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Rockwell Automation (NYSE: ROK) insider details RSU exercises and tax sale

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

Rhea-AI Filing Summary

Rockwell Automation senior executive Matthew W. Fordenwalt, SVP Lifecycle Services, reported equity transactions in company stock. On December 4 and 5, 2025, he acquired 787 and 841 shares of Rockwell Automation common stock at $0 per share through the vesting and settlement of restricted stock units. On December 5, he then sold 295 shares at a weighted average price of about $402.89 per share under a pre‑arranged Rule 10b5‑1 trading plan to cover taxes due on the vesting.

After these transactions, he directly owned 4,529 shares of common stock and also held additional interests through the company savings plans and restricted stock units, which each represent the right to receive one share of Rockwell Automation common stock as they vest.

Positive

  • None.

Negative

  • None.
Insider Fordenwalt Matthew W.
Role SVP Lifecycle Services
Sold 295 shs ($119K)
Type Security Shares Price Value
Exercise Restricted Stock Units 841 $0.00 --
Exercise Common Stock 841 $0.00 --
Sale Common Stock 275 $402.8865 $111K
Sale Common Stock 20 $403.32 $8K
Exercise Restricted Stock Units 787 $0.00 --
Exercise Common Stock 787 $0.00 --
holding Common Stock Share Equivalents -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 1,684 shares (Direct); Common Stock — 4,824 shares (Direct); Common Stock Share Equivalents — 5.863 shares (Indirect, By Nonqualified Savings Plan); Common Stock — 67.899 shares (Indirect, By Savings Plan)
Footnotes (1)
  1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2024 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 $402.30 to $403.24. 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*
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)
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 787 A $0 3,983 D
Common Stock 12/05/2025 M 841 A $0 4,824 D
Common Stock 12/05/2025 S(1) 275 D $402.8865(2) 4,549 D
Common Stock 12/05/2025 S(1) 20 D $403.32 4,529 D
Common Stock 67.8985(3) 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 (4) 12/04/2025 M 787 12/04/2024(5) 12/04/2026 Common Stock 787 $0 788 D
Restricted Stock Units (4) 12/05/2025 M 841 12/05/2025(5) 12/05/2027 Common Stock 841 $0 1,684 D
Common Stock Share Equivalents (6) (7) (7) Common Stock 5.8629 5.8629(8) I By Nonqualified Savings Plan
Explanation of Responses:
1. Sale of shares pursuant to Rule 10b5-1 plan entered into on 11/26/2024 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 $402.30 to $403.24. 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. 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.
4. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
5. The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
6. Each unit is the economic equivalent of one share of Company common stock.
7. The share equivalents are payable in cash upon retirement or after termination of employment.
8. 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, By Power of Attorney for Matthew W. Fordenwalt 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 transaction did Rockwell Automation (ROK) report in this Form 4?

The filing reports that SVP Lifecycle Services Matthew W. Fordenwalt acquired Rockwell Automation common shares via restricted stock unit vesting and sold a portion of shares on December 5, 2025.

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

He acquired 787 shares on December 4, 2025 and 841 shares on December 5, 2025 through restricted stock units, then sold a total of 295 shares on December 5.

At what price were the Rockwell Automation (ROK) shares sold?

The 295 shares sold on December 5, 2025 included a block at a weighted average price of $402.8865 per share, with individual trades between $402.30 and $403.24, and an additional sale at $403.32 per share.

Were the Rockwell Automation (ROK) insider sales made under a Rule 10b5-1 plan?

Yes. The filing states the sale was made under a Rule 10b5‑1 plan entered into on November 26, 2024 to cover taxes due on restricted stock units that vested on December 4, 2025.

How many Rockwell Automation (ROK) shares does the insider own after the transactions?

Following the reported transactions, the executive directly owned 4,529 shares of Rockwell Automation common stock, plus additional interests through the company savings plans and restricted stock units.

What are the restricted stock units mentioned in the Rockwell Automation (ROK) Form 4?

Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. They vest in three substantially equal annual installments beginning on the listed exercisable date.

What is the executives relationship to Rockwell Automation (ROK)?

The reporting person is an officer of Rockwell Automation, serving as Senior Vice President, Lifecycle Services, and filed this Form 4 as a single reporting person.