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. director equity compensation reported
A director of Rockwell Automation, Inc. reported receiving 84 restricted stock units on 01/02/2026 as compensation for service under the company’s 2020 Long-Term Incentives Plan. Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock, with the share equivalents payable in cash upon retirement or after termination of employment. Following this transaction, the director beneficially owned 5,503 derivative securities related to Rockwell Automation on a direct basis.
Rockwell Automation, Inc. insider plans additional share sale under Rule 144. A holder identified as Terry L. Riesterer has filed to sell 800 shares of Rockwell Automation common stock through broker Charles Schwab & Co., Inc. on the NYSE, with an aggregate market value of $313,600. The filing notes that 112,273,567 shares of Rockwell Automation common stock were outstanding. The 800 shares to be sold were originally acquired on 12/05/2022 as equity compensation in the form of PSU/RSU awards.
The notice also reports prior sales over the past three months for the same account, including 60, 61, and 225 shares of Rockwell Automation common stock on 12/05/2025, 12/08/2025, and 12/10/2025, generating gross proceeds of $24,173, $24,454, and $90,480, respectively. The signer represents that they are not aware of undisclosed material adverse information about Rockwell Automation’s current or prospective operations.
Rockwell Automation is asking shareowners to vote at its 2026 annual meeting on four items: electing three directors, an advisory say-on-pay vote, ratifying Deloitte & Touche as auditor for fiscal 2026, and approving a new 2026 Long-Term Incentives Plan to provide additional equity for employees and directors.
The proxy highlights a return to year-over-year growth in 2025, margin and cost actions begun in 2024, and a planned $2 billion investment over five years to modernize infrastructure, grow talent, and enhance digital capabilities. For fiscal 2025, executives earned an annual incentive payout of 95.7% of target and 70% of performance shares granted in 2022 vested based on total shareholder return at the 35th percentile of a comparator group.
The Board stresses strong governance: 10 of 11 directors are independent, there is a Lead Independent Director, fully independent committees, proxy access, stock ownership requirements, no hedging, and clawback policies. It also details oversight of strategy, risk, cybersecurity, AI governance, and sustainability, and describes active shareowner engagement covering roughly 36.4% of outstanding shares.
Rockwell Automation, Inc. executive Form 4 activity: The SVP, Software and Control reported multiple transactions in Rockwell Automation common stock in December 2025. On 12/08/2025, the insider sold 279 and 15 shares at weighted average prices of about $400.96 and $401.85, respectively, under a Rule 10b5-1 trading plan to cover taxes on recently vested restricted stock units.
On 12/09/2025, stock options were exercised for 385 shares at $0 and 1,289 shares at an exercise price of $259.81, with a portion of the resulting shares sold in several trades between roughly $402.20 and $404.11. Additional restricted stock units were settled for 822 shares on 12/09/2025, again with related sales.
On 12/10/2025, further sales of 108, 200, 132, and 36 shares occurred at prices between about $400.54 and $403.81, also tied to tax obligations under the 10b5-1 plan. After these transactions, the insider directly held 2,401 common shares, plus additional units in the company savings plan. New grants included 11,267 employee stock options at a $402.22 exercise price and 3,282 restricted stock units that vest over time under the 2020 Long-Term Incentive Plan.
Rockwell Automation, Inc. SVP and Chief Supply Chain Officer Robert L. Buttermore reported several equity transactions in company stock. On 12/08/2025, he sold small blocks of common stock, including 206 and 25 shares, at weighted average prices of about $400.94 and $401.69, under a pre-arranged Rule 10b5-1 trading plan to cover taxes on vested restricted stock units. On 12/09/2025, 154 and 329 shares of common stock were acquired at an exercise price of $0 upon the vesting or settlement of equity awards.
Following these transactions, he directly owned several thousand shares of Rockwell common stock and also held an indirect interest through Company Savings Plan stock fund units. In addition, he received a new grant of 9,731 employee stock options with a $402.22 exercise price, vesting in three annual installments from 12/08/2026 to 12/08/2035, plus 2,835 restricted stock units and performance shares, each generally representing the right to receive one share of Rockwell common stock.
Rockwell Automation, Inc. insider activity: A senior vice president, identified as SVP Lifecycle Services, reported several transactions in Rockwell Automation (ROK) common stock. On 12/08/2025 and 12/10/2025, the officer sold small blocks of shares, including 309 shares at a weighted average price of about $400.9185, 50 shares at about $401.66, 70 shares at about $400.9094, 92 shares at about $402.0757, and 54 shares at about $403.1598. These sales were made under a pre-arranged Rule 10b5-1 plan to cover taxes on recently vested restricted stock units.
On 12/09/2025, the officer acquired 154 and 329 shares at a price of $0 upon the vesting and settlement of equity awards, and ended with 4,491 directly owned shares plus 67.8985 stock fund units held indirectly through a company savings plan. The officer also received new long-term incentives: an employee stock option for 11,267 shares at an exercise price of $402.22, vesting in three annual installments starting 12/08/2026, and 3,282 restricted stock units vesting over three years beginning 12/08/2026, along with performance shares that convert into common stock.
Rockwell Automation (ROK) insider activity centers on tax-related sales and new equity awards. Vice President and Treasurer Isaac Woods reported several stock transactions dated 12/08/2025 through 12/10/2025. On multiple dates, he sold small blocks of Rockwell Automation common stock, such as 58 shares at a weighted average price of $400.9516, under a Rule 10b5-1 trading plan to cover taxes on recently vested restricted stock units. Additional sales on 12/10/2025 were executed at weighted average prices between roughly $400.6971 and $402.8842.
On 12/09/2025 he exercised equity awards, including 154 and 329 shares acquired at $0 per share through the vesting of restricted stock units and performance shares. He also received a new grant of 1,025 employee stock options with a $402.22 exercise price expiring in 2035 and 299 restricted stock units vesting in three annual installments beginning in 2026. Following these transactions, Woods directly owned 2,058 shares of common stock and held an additional 465.2217 units in the company stock fund through the company savings plan.
Rockwell Automation reported an equity award for its Senior Vice President and Chief Financial Officer, Christian E. Rothe, in a Form 4 filing. On December 8, 2025, he received employee stock options to buy 11,523 shares of Rockwell Automation common stock at an exercise price of $402.22 per share. These options were granted under the company’s 2020 Long-Term Incentive Plan and are scheduled to vest in three substantially equal annual installments beginning on December 8, 2026, continuing through December 8, 2035 as the option term.
On the same date, Rothe was also granted 3,357 restricted stock units, each representing a contingent right to receive one share of Rockwell Automation common stock. These RSUs were also awarded under the 2020 Long-Term Incentive Plan and vest in three substantially equal annual installments starting on December 8, 2026 and ending on December 8, 2028. Following these awards, the Form 4 shows Rothe holding all of these derivative securities as direct ownership.
Rockwell Automation officer Terry L. Riesterer, Vice President and Controller, reported multiple equity transactions in company stock. On 12/8/2025, she sold 52 and 9 shares of common stock in open-market transactions at weighted average prices of about $400–$402, and on 12/10/2025 sold 51, 94 and 80 shares at weighted average prices around $401–$403, largely under a Rule 10b5‑1 plan to cover taxes on vested restricted stock units.
On 12/9/2025, 154 and 329 shares of common stock were acquired at $0 upon the vesting or settlement of equity awards. She also received an employee stock option for 1,025 shares at an exercise price of $402.22 and a grant of 299 restricted stock units under the 2020 Long‑Term Incentive Plan. After these transactions, she directly held 2,034 shares of common stock and 628.1656 shares indirectly through the company savings plan.