Form 4: Rockwell Automation VP Reports Equity Transactions

Rockwell Automation's Vice President and Controller, Terry L. Riesterer, reported sales of common stock to cover taxes on vested restricted stock units, alongside the exercise of stock options and vesting of performance shares.

Summary

• Terry L. Riesterer, Vice President and Controller of Rockwell Automation, Inc. (ROK), reported multiple transactions involving company common stock.
• Sales of 286 shares of common stock occurred on December 8, 2025, and December 10, 2025, at weighted average prices ranging from $400.65 to $403.2484.
• These sales were executed under Rule 10b5-1 plans established on November 20, 2024, specifically to cover tax obligations arising from the vesting of restricted stock units on December 5, 2025, and December 9, 2025.
• Acquisitions included 154 shares of common stock on December 9, 2025, from the vesting of restricted stock units, and 329 shares from the vesting of performance shares on the same date, both at a price of $0.
• New equity awards on December 8, 2025, included 1,025 Employee Stock Options with an exercise price of $402.22, and 299 Restricted Stock Units, both awarded under the Company's 2020 Long-Term Incentive Plan.
• Following these transactions, direct beneficial ownership of common stock was 2,034 shares, and indirect ownership through a Savings Plan was 628.1656 shares.

Sentiment

Score: 6

Explanation: The filing details routine insider transactions, including sales for tax obligations on vested equity and the award/vesting of other equity compensation. These are standard executive compensation activities and do not indicate significant positive or negative shifts in company performance or outlook.

Positives

• The vesting of 154 restricted stock units and 329 performance shares indicates the achievement of prior performance targets and compensation milestones.
• The award of 1,025 new employee stock options and 299 restricted stock units under the 2020 Long-Term Incentive Plan demonstrates ongoing executive compensation and alignment with company performance.

Negatives

• The sale of 286 shares of common stock, even for tax purposes, reduces the direct equity stake held by the reporting person.

Future Outlook

NA

Industry Context

NA

Stakeholder Impact

• Shareholders may note the routine insider transactions, which are typical for executive compensation and tax planning, and generally do not signal a change in company fundamentals.

Next Steps

• Employee stock options awarded on 12/08/2025 will vest in three substantially equal annual installments beginning 12/08/2026.
• Restricted stock units awarded on 12/08/2025 will vest in three substantially equal annual installments beginning 12/08/2026.

Key Dates

Recommendation

This Form 4 filing details routine insider transactions, primarily sales to cover tax liabilities from vested equity awards and the receipt of new equity compensation. Such activities are standard for executive compensation and do not provide new material information that would warrant a change in investment recommendation for Rockwell Automation. The transactions reflect normal course compensation events rather than a change in management's outlook on the company's prospects.

Keywords

Rockwell Automation, ROK, Form 4, Insider Transaction, Stock Options, Restricted Stock Units, Performance Shares, Executive Compensation, Rule 10b5-1 Plan, Equity Awards