Form 4: Rockwell Automation SVP Sells Shares for Tax

Rockwell Automation's SVP of Lifecycle Services, Matthew W. Fordenwalt, reported the vesting of restricted stock units and subsequent sale of shares to cover tax obligations.

Summary

• Matthew W. Fordenwalt, SVP Lifecycle Services at Rockwell Automation, Inc. (ROK), reported transactions under a Rule 10b5-1 plan.
• On December 4, 2025, 787 shares of common stock were acquired at a $0 price, corresponding to the vesting of Restricted Stock Units (RSUs).
• On December 5, 2025, an additional 841 shares of common stock were acquired at a $0 price, also from RSU vesting.
• Following these acquisitions, Fordenwalt directly owned 4,824 shares.
• On December 5, 2025, Fordenwalt sold 275 shares at a weighted average price of $402.8865 and 20 shares at $403.32.
• These sales were executed to cover taxes due on the restricted stock units that vested on December 4, 2025.
• After all reported transactions, Fordenwalt directly holds 4,529 shares of common stock.
• Indirect holdings include 67.8985 shares via a Company Savings Plan and 5.8629 share equivalents via a Nonqualified Savings Plan.

Sentiment

Score: 5

Explanation: The filing reports routine insider transactions related to executive compensation (RSU vesting) and subsequent sales to cover tax obligations, which are neutral events and do not indicate positive or negative company performance.

Positives

• The transactions were executed under a pre-arranged Rule 10b5-1 plan, indicating a planned, non-discretionary sale.
• The primary purpose of the share sales was to cover tax obligations related to RSU vesting, a routine compensation event.

Negatives

• No specific negative aspects are indicated by these routine transactions.

Future Outlook

This filing does not contain any forward-looking statements or guidance regarding the company's future performance.

Management Comments

• 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.
• 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.

Industry Context

This Form 4 filing details routine insider transactions related to executive compensation and tax obligations, which are common across publicly traded companies and do not reflect broader industry trends or competitive positioning.

Comparison to Industry Standards

• Not applicable, as this filing reports routine insider compensation and tax-related stock transactions rather than operational or financial performance metrics that could be benchmarked against industry peers.

Stakeholder Impact

• Shareholders: The sale of shares by an executive, even for tax purposes, slightly increases the float but is generally not considered a significant event for long-term shareholders given its routine nature and pre-planned execution.
• Employees: No direct impact on employees is indicated.

Next Steps

• The reporting person undertakes to provide full information regarding shares sold at each separate price upon request.

Key Dates

Keywords

Rockwell Automation, ROK, Form 4, Insider Transaction, Matthew W. Fordenwalt, Restricted Stock Units, RSU Vesting, Stock Sale, Tax Withholding, Rule 10b5-1 Plan