Welcome to our dedicated page for Rockwell Automat SEC filings (Ticker: ROK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Rockwell Automation filings document regulatory disclosures for a NYSE-listed industrial automation company with common stock trading under ROK.
The record includes Form 8-K reports on operating results, financial condition, material agreements, credit arrangements, director elections, and equity incentive plan matters. Proxy materials and annual meeting disclosures cover director elections, advisory executive compensation votes, auditor ratification, shareowner approval of long-term incentive plans, board committee assignments, director compensation, and related governance procedures.
Rockwell Automation, Inc. entered into a new $1,500,000,000 five-year unsecured revolving credit agreement with a bank syndicate led by Bank of America as administrative agent. The company can increase total commitments by up to an additional $750,000,000 and has two options to request one-year extensions of the maturity date, subject to lender consent and other conditions.
This new facility replaces Rockwell’s prior $1,500,000,000 five-year credit agreement from June 2022, which was terminated early with no early termination penalties. Borrowings will bear interest based on a base rate or adjusted term SOFR plus a margin that varies with the company’s senior unsecured credit ratings. The agreement includes customary covenants and events of default, including a requirement that the ratio of Consolidated EBITDA to Consolidated Interest Expense for any four-quarter period remain at least 3.00 to 1.00, but it does not restrict the company’s ability to pay dividends. Proceeds of borrowings are intended for general corporate purposes.
Rockwell Automation (ROK) filed its annual report, outlining operations, risks, and capital plans for the year ended September 30, 2025. The company operates three segments—Intelligent Devices, Software & Control, and Lifecycle Services—serving discrete, hybrid, and process industries in more than 100 countries.
Rockwell plans to invest over $2 billion over the next five years in manufacturing capacity, digital infrastructure, and talent to support growth and margin initiatives. The filing details extensive risk factors, including macroeconomic volatility, tariffs and trade policy shifts, supply chain dependencies, cybersecurity and product security threats (including more sophisticated AI‑driven attacks), and execution risks in cost productivity and integration of acquisitions. Competitive pressures from Siemens, ABB, Schneider Electric, Emerson, Mitsubishi Electric, Honeywell, and Dassault Systèmes are highlighted.
On capital markets context, the aggregate market value of voting stock held by non‑affiliates was $29.1 billion as of March 31, 2025. 112,273,567 common shares were outstanding as of October 31, 2025. The report also notes potential tax impacts from OECD BEPS Pillar Two, which could raise the company’s effective tax rate beginning in fiscal 2026.
Rockwell Automation (ROK): President and CEO Blake D. Moret reported a pre‑planned transaction under a Rule 10b5‑1 trading plan. On 11/06/2025, he exercised employee stock options for 61,700 shares at an exercise price of $136.4 per share and sold the same number of shares in multiple trades.
Weighted average sale prices disclosed include $390.6211 (range $390.00–$390.79), $391.6984 (range $391.36–$391.87), and a trade at $392.4. Following these transactions, indirect holdings by a Family Trust were 83,873 shares. The filing also notes 165.5327 shares represented by company stock fund units in the Savings Plan as of 9/30/2025.
Rockwell Automation (ROK) received a Form 144 notice for a proposed sale of 61,700 shares of common stock with an aggregate market value of $24,159,343. The filing lists Charles Schwab & Co., Inc. as broker, with an approximate sale date of 11/06/2025 on the NYSE. The shares relate to an employee stock option exercise on 11/06/2025 using a broker payment for cashless exercise.
Shares outstanding were 112,434,397. In the past three months, the filing lists a sale by Blake D. Moret of 24,400 shares on 09/11/2025 for $8,543,197. Form 144 is a notice of a proposed sale by an affiliate or other person under Rule 144 and indicates planned secondary market activity by the seller.
Rockwell Automation, Inc. filed a current report to furnish a press release announcing its financial results for the year ended September 30, 2025. The press release, dated November 6, 2025, is included as Exhibit 99 and incorporated by reference. The filing is made under the Securities Exchange Act of 1934 and relates to the company’s common stock listed on the New York Stock Exchange under the symbol ROK.
Rockwell Automation (ROK): SVP, Software and Control, Matheus De A G Viera Bulho reported an option exercise and sale on 10/29/2025. He exercised 822 employee stock options at $350.76 per share and sold 822 shares at $365 per share pursuant to a Rule 10b5-1 trading plan entered into on 11/25/2024.
Following the transactions, he held 983 shares of common stock directly and 5.6667 shares indirectly through the Company Savings Plan. The reported option grant shows $350.76 exercise price, originally granted 12/07/2022 and expiring 12/07/2031.
Rockwell Automation (ROK) received a Form 144 notice for a proposed sale of 822 common shares, with an aggregate market value of $300,030. The shares are planned to be sold through Charles Schwab & Co., Inc. on or about 10/29/2025 on the NYSE.
The seller acquired the shares on 10/29/2025 via an employee stock option exercise using a broker payment for cashless exercise. Rockwell Automation reported 112,434,397 shares outstanding.
John M. Miller, Vice President and Chief IP Counsel at Rockwell Automation, Inc. (ROK), reported a non-derivative acquisition of 132 performance shares on 10/01/2025. The filing shows these performance shares were originally granted on 12/09/2022 with a payout range of 0–200% tied to the company’s total shareowner return versus the S&P 500 over a three-year performance period. The payout was calculated at the end of that period, producing the reported 132 shares, each representing a contingent right to one common share (or cash equivalent). The performance shares vest on 12/09/2025 provided the reporting person remains employed on that date. The transaction is reported as direct ownership and the Form 4 was signed by Danielle White on 10/03/2025.
Isaac Woods, Vice President and Treasurer of Rockwell Automation, Inc. (ROK), reported the receipt of 329 performance shares on 10/01/2025. The award reflects the payout of a performance-based grant originally awarded on 12/09/2022, which paid out based on the company’s total shareholder return versus the S&P 500 over a three-year performance period. The performance shares vest on 12/09/2025 provided Mr. Woods remains employed, and each performance share converts to one share of common stock (or cash equivalent). The reported transaction shows 329 shares acquired with a reported price of $0, and the shares are held directly by the reporting person following the transaction.
Rockwell Automation (ROK) reporting person Terry L. Riesterer, Vice President and Controller, received 329 performance shares arising from a grant made on 12/09/2022. The reported acquisition date is 10/01/2025 and the award has a $0 per-share price because these are performance-contingent equity awards. Payout was determined at the end of the three-year performance period based on the company’s total shareholder return versus the S&P 500, with the grant allowing a payout range of 0% to 200% of target. The performance shares vest on 12/09/2025 provided the reporting person remains employed on that date. The Form 4 was signed by an attorney-in-fact on 10/03/2025.