Rockwell Automation (ROK) SVP exercises options and sells 1,200 shares under 10b5-1
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
Rockwell Automation SVP Matthew W. Fordenwalt, SVP Lifecycle Services, reported option exercises and share sales in Rockwell Automation, Inc. common stock. On February 25, 2026, he exercised an Employee Stock Option for 1,200 shares at a price of $0.0000 per share, converting into 1,200 shares of common stock at an exercise price of $196.4300 per share.
That same day, he executed open-market sales totaling 1,200 shares of common stock in multiple trades, including 155 shares at $402.1089, 280 shares at $403.2057, 405 shares at $404.1589, 280 shares at $405.6029, and two blocks of 40 shares at $406.4200 and $407.9000. A footnote states the shares were “exercised and sold pursuant to Rule 10b5-1 plan entered into on 11/26/2025.” After these transactions, he directly owned 4,437 common shares and indirectly held 68.085 shares through the company savings plan.
Positive
- None.
Negative
- None.
Insider Trade Summary
Net Seller: 1,200 shares ($485,050)
Net Sell
9 txns
Insider
Fordenwalt Matthew W.
Role
SVP Lifecycle Services
Sold
1,200 shs ($485K)
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Employee Stock Option (Right to Buy) | 1,200 | $0.00 | -- |
| Exercise | Common Stock | 1,200 | $196.43 | $236K |
| Sale | Common Stock | 155 | $402.1089 | $62K |
| Sale | Common Stock | 280 | $403.2057 | $113K |
| Sale | Common Stock | 405 | $404.1589 | $164K |
| Sale | Common Stock | 280 | $405.6029 | $114K |
| Sale | Common Stock | 40 | $406.42 | $16K |
| Sale | Common Stock | 40 | $407.90 | $16K |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (Right to Buy) — 1,200 shares (Direct);
Common Stock — 5,637 shares (Direct);
Common Stock — 68.085 shares (Indirect, By Savings Plan)
Footnotes (1)
- Shares exercised and sold pursuant to Rule 10b5-1 plan entered into on 11/26/2025. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $401.6650 to $402.55. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $402.82 to $403.6850. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $403.95 to $404.3850. 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. Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $405.3450 to $406.00. 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. Includes shares represented by Company stock fund units acquired under the Company Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 12/31/2025. The number of stock fund units represented by the balance of the participant's Company stock fund account may not exactly equal the number of stock fund units represented by a prior balance due to variance in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the Plan. The option vests in three substantially equal annual installments beginning on the date exercisable.
FAQ
What did Rockwell Automation (ROK) executive Matthew Fordenwalt report on this Form 4?
Matthew W. Fordenwalt reported exercising stock options and selling Rockwell Automation common shares. He converted 1,200 options into 1,200 common shares, then sold 1,200 shares in multiple open-market trades on February 25, 2026 under a pre-established Rule 10b5-1 trading plan.
How many Rockwell Automation (ROK) options did Matthew Fordenwalt exercise?
He exercised 1,200 Employee Stock Options, described as a “Right to Buy.” These options converted into 1,200 shares of Rockwell Automation common stock at an exercise price of $196.4300 per share, with the option itself reported at a price of $0.0000 per option.
Was Matthew Fordenwalt’s Rockwell Automation (ROK) stock sale under a Rule 10b5-1 plan?
Yes. A footnote states the shares were “exercised and sold pursuant to Rule 10b5-1 plan entered into on 11/26/2025.” Rule 10b5-1 plans pre-schedule trades, helping insiders sell shares over time under predetermined instructions.
What does the Form 4 say about Matthew Fordenwalt’s indirect Rockwell Automation (ROK) holdings?
The filing notes 68.085 shares held indirectly “By Savings Plan.” A footnote explains these reflect company stock fund units under the company savings plan, based on the plan administrator’s data as of December 31, 2025, and unit counts can vary with underlying cash proportions.
What is Matthew Fordenwalt’s role at Rockwell Automation (ROK) mentioned in the Form 4?
The Form 4 lists Matthew W. Fordenwalt as an officer of Rockwell Automation with the title “SVP Lifecycle Services.” This indicates he is a senior vice president responsible for the company’s Lifecycle Services segment while reporting these insider equity transactions.