Rockwell Automation (NYSE: ROK) SVP sells 600 shares after option exercise
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
Rockwell Automation SVP Matthew W. Fordenwalt exercised stock options and sold shares in a planned transaction. He exercised 600 Employee Stock Options at an exercise price of $246.77 per share, receiving 600 shares of common stock.
On the same date, he sold a total of 600 shares of Rockwell Automation common stock in open-market transactions at weighted average prices of $449.9837 for 460 shares and $448.2571 for 140 shares. The sales were made under a Rule 10b5-1 trading plan entered into on November 26, 2025. After these transactions, he directly holds 4,897 shares and indirectly holds about 70.072 shares through the Company Savings Plan.
Positive
- None.
Negative
- None.
Insights
Routine option exercise and sale under a pre-set 10b5-1 plan, net small share reduction.
Matthew W. Fordenwalt, SVP Lifecycle Services at Rockwell Automation, exercised 600 stock options at $246.77 per share and sold the resulting 600 common shares around $449–$450. This is a classic exercise-and-sell pattern, converting option value into cash.
The filing notes the trades occurred under a Rule 10b5-1 trading plan entered on November 26, 2025, indicating they were pre-scheduled rather than opportunistic. After the transactions he still holds 4,897 shares directly plus about 70.072 via the Company Savings Plan, so the net ~10–15% reduction in his visible equity stake appears modest.
Insider Trade Summary 10b5-1
Net Seller: 600 shares ($269,748)
Net Sell
5 txns
Insider
Fordenwalt Matthew W.
Role
SVP Lifecycle Services
Sold
600 shs ($270K)
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Employee Stock Option (Right to Buy) | 600 | $0.00 | -- |
| Exercise | Common Stock | 600 | $246.77 | $148K |
| Sale | Common Stock | 140 | $448.2571 | $63K |
| Sale | Common Stock | 460 | $449.9837 | $207K |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (Right to Buy) — 450 shares (Direct, null);
Common Stock — 5,037 shares (Direct, null);
Common Stock — 70.072 shares (Indirect, By Savings Plan)
Footnotes (1)
- Shares exercised and sold pursuant to Rule 10b5-1 trading plan entered into on 11/26/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $448.22 to $448.48. 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 $449.74 to $450.035. 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 3/31/2026. 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. The options vest in three substantially equal annual installments beginning on the date exercisable.
Key Figures
Shares sold: 600 shares
First sale price: $449.9837 per share
Second sale price: $448.2571 per share
+4 more
7 metrics
Shares sold
600 shares
Common stock sold in open-market transactions on May 5, 2026
First sale price
$449.9837 per share
Weighted average price for 460 shares sold
Second sale price
$448.2571 per share
Weighted average price for 140 shares sold
Option exercise price
$246.77 per share
Exercise price for 600 Employee Stock Options
Direct holdings after
4,897 shares
Direct Rockwell Automation common stock after transactions
Indirect Savings Plan units
70.072 shares
Company stock fund units in Company Savings Plan as of March 31, 2026
Option term
Dec 10, 2021–Dec 10, 2030
Option exercisable and expiration dates
Key Terms
Rule 10b5-1 trading plan, weighted average price, Employee Stock Option (Right to Buy), Company Savings Plan, +1 more
5 terms
Rule 10b5-1 trading plan regulatory
"Shares exercised and sold pursuant to Rule 10b5-1 trading plan entered into on 11/26/2025."
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
weighted average price financial
"Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $448.22 to $448.48."
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
Employee Stock Option (Right to Buy) financial
"Employee Stock Option (Right to Buy) with underlying security title Common Stock and 600.0000 underlying shares."
Company Savings Plan financial
"Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported."
stock fund units financial
"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."
FAQ
What did Rockwell Automation (ROK) executive Matthew Fordenwalt do in this Form 4?
Matthew W. Fordenwalt exercised stock options for 600 Rockwell Automation shares and sold all 600 in open-market trades. The transactions were part of a pre-arranged Rule 10b5-1 trading plan, converting option value into cash while leaving him with a sizable remaining share position.
What stock options did Matthew Fordenwalt exercise in Rockwell Automation (ROK)?
He exercised 600 Employee Stock Options, each with an exercise price of $246.77 per share. These options relate to Rockwell Automation common stock and were exercisable beginning December 10, 2021, with an expiration date of December 10, 2030, and vesting in three annual installments.
What does the Company Savings Plan holding mean for Rockwell Automation (ROK) SVP Fordenwalt?
The filing shows about 70.072 shares represented by Company stock fund units in the Savings Plan. This indirect holding reflects retirement-plan investments, where unit counts can vary slightly over time due to changes in uninvested cash proportions within the stock fund reference structure.