Form 4: Rockwell Automation VP & Controller Executes Pre-Planned Stock Transactions

Rockwell Automation's Vice President and Controller, Terry L. Riesterer, reported the exercise of stock options and the sale of common stock, including shares to cover tax obligations, all under a pre-arranged Rule 10b5-1 trading plan.

Summary

• Terry L. Riesterer, Vice President and Controller of Rockwell Automation, Inc. (ROK), reported multiple stock transactions.
• On July 15, 2025, 2,100 shares of common stock were acquired through the exercise of employee stock options at an exercise price of $171.46 per share.
• Concurrently on July 15, 2025, 2,100 shares were sold at a weighted average price of $350.079 per share, with prices ranging from $350 to $350.29. These transactions were executed under a Rule 10b5-1 trading plan established on November 20, 2024.
• On July 16, 2025, 849 shares of common stock were acquired due to the vesting of Restricted Stock Units (RSUs) at a price of $0.
• On July 17, 2025, 269 shares were sold at a weighted average price of $355.2569 per share, with prices ranging from $354.9550 to $355.4475. This sale was specifically to cover taxes associated with the RSUs that vested on July 16, 2025, and was also part of the Rule 10b5-1 plan.
• Following these transactions, Terry L. Riesterer directly holds 1,613 shares of common stock and indirectly holds 626.0541 shares through the Company Savings Plan as of June 30, 2025.
• 1,699 Restricted Stock Units remain beneficially owned, which vest in three substantially equal annual installments starting July 16, 2025.

Sentiment

Score: 5

Explanation: The document is a standard Form 4 filing reporting pre-planned insider transactions, which are generally neutral in sentiment as they reflect compensation realization and tax planning rather than a change in company fundamentals or executive confidence.

Positives

• The transactions were executed under a Rule 10b5-1 trading plan, indicating pre-planned sales and reducing concerns about sales based on non-public information.
• The exercise of stock options and vesting of restricted stock units indicate compensation realization for the executive.
• The sale price of shares ($350.079 and $355.2569) is significantly higher than the option exercise price ($171.46), indicating a profitable transaction for the executive.

Negatives

• The sale of shares by an insider, even if pre-planned, reduces their direct ownership stake in the company.

Stakeholder Impact

• Shareholders: Provides transparency regarding executive stock ownership and trading activities, which can influence investor perception of insider confidence and liquidity.
• Employees: Reflects the structure of executive compensation, including stock options and restricted stock units.

Next Steps

• Future vesting of the remaining 1,699 Restricted Stock Units in three substantially equal annual installments beginning July 16, 2025.

Key Dates

Keywords

Rockwell Automation, ROK, SEC Form 4, Insider Trading, Stock Options, Restricted Stock Units, Rule 10b5-1, Executive Compensation, Stock Sale, Terry L. Riesterer