What SEC filings does Rockwell Automation, Inc. submit to the SEC?

Rockwell Automation, Inc. (ROK) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about ROK?

A Form 4 for ROK discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Rockwell Automation, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for ROK?

The 10-K is Rockwell Automation, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all ROK SEC filings directly on EDGAR?

You can view all historical Rockwell Automation, Inc. filings on the SEC EDGAR company page for ROK. Each filing card on this page links directly to the original SEC document.

How often does Rockwell Automation, Inc. file with the SEC?

Rockwell Automation, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling ROK shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

ROK SEC Filing News — Rockwell Automation, Inc.

Latest SEC filings for Rockwell Automation, Inc. (ROK) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-05.

Rockwell Automation, Inc., together with its subsidiaries, provides industrial automation and digital transformation solutions in North America, Europe, the Middle East, Africa, the Asia Pacific, and Latin America. It operates in three segments: Intelligent Devices, Software & Control, and Lifecycle Services. The company offers drives, motion, advanced material handling, safety, sensing, industrial components, hardware, software, and configured-to-order products; and control and visualization so…

Sector: Industrials Industry: Specialty Industrial Machinery Market Cap: $47.2B CIK: 1024478

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for ROK currently lean bearish. Of the 20 filing records displayed, 2 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

ROK Filing Activity Snapshot 2026-08-31 — 2026-10-05

Insider Transactions (Form 4)

0 buys vs 2 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$474.5K

PATRICIA A WATSON · 2026-09-17

1,100 shares · Form 144

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 15 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 15 filings in this group are Form 4s for Rockwell Automation, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 15 insider filings shown, the breakdown is 13 compensation award and 2 open-market sale. 2 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×13: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market sale ×2: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Reynolds Jordan Canfield (SVP Lifecycle Services) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	246	—	—

Filing: Form 4 (Insider Transaction) Insider: Reynolds Jordan Canfield (SVP Lifecycle Services)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

MILLER JOHN M (VP and Chief IP Counsel) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	277	—	—

Filing: Form 4 (Insider Transaction) Insider: MILLER JOHN M (VP and Chief IP Counsel)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Woods Isaac (Vice President and Treasurer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	614	—	—

Filing: Form 4 (Insider Transaction) Insider: Woods Isaac (Vice President and Treasurer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Riesterer Terry L. (Vice President and Controller) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	645	—	—

Filing: Form 4 (Insider Transaction) Insider: Riesterer Terry L. (Vice President and Controller)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Nardecchia Christopher (SVP, Chief Information Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	1,533	—	—

Filing: Form 4 (Insider Transaction) Insider: Nardecchia Christopher (SVP, Chief Information Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Bulho Matheus De A G Viera (SVP Software and Control) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	1,533	—	—

Filing: Form 4 (Insider Transaction) Insider: Bulho Matheus De A G Viera (SVP Software and Control)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Perducat Cyril (SVP, Chief Technology Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	1,993	—	—

Filing: Form 4 (Insider Transaction) Insider: Perducat Cyril (SVP, Chief Technology Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Buttermore Robert L. (SVP,Chief Supply Chain Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	2,453	—	—

Filing: Form 4 (Insider Transaction) Insider: Buttermore Robert L. (SVP,Chief Supply Chain Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Fordenwalt Matthew W. (SVP Intelligent Devices) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	3,371	—	—

Filing: Form 4 (Insider Transaction) Insider: Fordenwalt Matthew W. (SVP Intelligent Devices)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Myers Tessa M. (SVP, Chief Revenue Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	3,371	—	—

Filing: Form 4 (Insider Transaction) Insider: Myers Tessa M. (SVP, Chief Revenue Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

House Rebecca W (SVP, CLO and Secretary) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	3,371	—	—

Filing: Form 4 (Insider Transaction) Insider: House Rebecca W (SVP, CLO and Secretary)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-05

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Moret Blake D. (Director, President and CEO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Performance Shares	16,852	—	—

Filing: Form 4 (Insider Transaction) Insider: Moret Blake D. (Director, President and CEO)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-10-02

ROK insider Form 4 filed for equity award, exercise, or tax withholding

Gipson William P (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · Restricted Stock Units	75	—	—

Filing: Form 4 (Insider Transaction) Insider: Gipson William P (Director)

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-09-09

ROK insider Woods Isaac (Vice President and Treasurer) sold 154 shares (~$66.6K)

Woods Isaac, listed as Vice President and Treasurer at ROCKWELL AUTOMATION, INC, reported an open-market sale of 154 ROK shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`M`	Option exercise	325	—	—
`S`	Open-market sale	44	$432.11	$19.0K
`S`	Open-market sale	110	$432.83	$47.6K
`M`	Option exercise derivative · Restricted Stock Units	325	—	—

Filing: Form 4 (Insider Transaction) Insider: Woods Isaac (Vice President and Treasurer) Shares: 154 Est. Value: $66.6K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-09-02

ROK insider Bulho Matheus De A G Viera (SVP Software and Control) sold 867 shares (~$367.4K)

Bulho Matheus De A G Viera, listed as SVP Software and Control at ROCKWELL AUTOMATION, INC, reported an open-market sale of 867 ROK shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	467	$426.96	$199.4K
`S`	Open-market sale	400	$420.14	$168.1K

Filing: Form 4 (Insider Transaction) Insider: Bulho Matheus De A G Viera (SVP Software and Control) Shares: 867 Est. Value: $367.4K

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 4 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Rockwell Automation, Inc. has 4 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-09-17

ROK Form 144 filed for proposed insider sale by PATRICIA A WATSON (1,100 shares) ~$474.5K

PATRICIA A WATSON filed a Form 144 with the SEC indicating intent to sell ROK (ROCKWELL AUTOMATION, INC) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: PATRICIA A WATSON Shares: 1,100 Est. Value: $474.5K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-09-08

ROK Form 144 filed for proposed insider sale by Woods Isaac (154 shares) ~$66.6K

Woods Isaac filed a Form 144 with the SEC indicating intent to sell ROK (ROCKWELL AUTOMATION, INC) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Woods Isaac Shares: 154 Est. Value: $66.6K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-09-02

ROK Form 144 filed for proposed insider sale by Bulho Matheus De A G Viera (400 shares) ~$168.1K

Bulho Matheus De A G Viera filed a Form 144 with the SEC indicating intent to sell ROK (ROCKWELL AUTOMATION, INC) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Bulho Matheus De A G Viera Shares: 400 Est. Value: $168.1K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-31

ROK Form 144 filed for proposed insider sale by Bulho Matheus De A G Viera (467 shares) ~$199.4K

Filing: Form 144 (Proposed Sale Notice) Insider: Bulho Matheus De A G Viera Shares: 467 Est. Value: $199.4K

View on SEC EDGAR → Open Filing Document →

Material Events 1 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There is 1 in this period for Rockwell Automation, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-24

ROK filed 8-K — material company event

ROCKWELL AUTOMATION, INC filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

How we classify Rockwell Automation, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on ROK. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — ROK SEC Filings

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ROK Full Analysis

Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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