Rockwell SVP exercises options, sells 600 shares

Rockwell Automation SVP Matthew W. Fordenwalt exercised stock options and sold shares in a planned transaction.

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.

Insights

Equity compensation analyst

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

Exercise and Sale: 600 shares ($122K approx. pre-tax spread)

Exercise and Sale 5 txns

Insider Fordenwalt Matthew W.

Role SVP Lifecycle Services

Sold 600 shs ($270K)

Approx. gross sale proceeds $270K

Approx. exercise cost $148K

Approx. pre-tax spread $122K

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (Right to Buy)	600	$0.00	$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 contracts (Direct); Common Stock — 4,437 shares (Direct); Common Stock — 70.072 shares (Indirect, By Savings Plan)

Footnotes (5)

1. F1. Shares exercised and sold pursuant to Rule 10b5-1 trading plan entered into on 11/26/2025.
2. F2. 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.
3. F3. 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.
4. F4. 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.
5. F5. 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

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

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.

How many Rockwell Automation (ROK) shares did the SVP sell and at what prices?

He sold 600 Rockwell Automation common shares in total. One sale covered 460 shares at a weighted average price of $449.9837, and the other covered 140 shares at a weighted average price of $448.2571, with detailed price ranges available upon request from the company.

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.

Were the Rockwell Automation (ROK) share sales by the SVP pre-planned?

Yes. The filing states the shares exercised and sold were pursuant to a Rule 10b5-1 trading plan entered into on November 26, 2025. Such plans allow executives to schedule trades in advance, reducing the significance of trade timing as a signal of personal market views.

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

After the reported transactions, he directly owns 4,897 Rockwell Automation common shares. He also has an indirect interest in approximately 70.072 shares through the Company Savings Plan, represented by stock fund units reported by the plan administrator as of March 31, 2026.

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.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/06/2026 - 05:56 PM Learn about SEC filing dates

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 WISCONSIN 53204

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/05/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	05/05/2026		M		600	A	$246.77	5,037	D
Common Stock	05/05/2026		S(1)		140	D	$448.2571(2)	4,897	D
Common Stock	05/05/2026		S(1)		460	D	$449.9837(3)	4,437	D
Common Stock								70.072(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
Employee Stock Option (Right to Buy)	$246.77	05/05/2026		M			600	12/10/2021(5)	12/10/2030	Common Stock	600	$0	450	D

Explanation of Responses:

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

2. 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.

3. 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.

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 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.

5. The options vest in three substantially equal annual installments beginning on the date exercisable.

Remarks:

	Danielle White, By Power of Attorney for Matthew W. Fordenwalt	05/06/2026
	** 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).
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.
* Form 4: SEC 1474 (03-26)