Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PENTAIR plcPNR · Entity 3537 | SVP & Chief HR Officer | January 03, 2018 | January 05, 2018 |
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Senior Vice President, HR | May 19, 2020 | May 20, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PENTAIR plc
Report date January 03, 2018 · Filed January 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,325 |
Reported balance
After 2018-01-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-01-03 · Tax withholding · Disposed 504 · Balance 1,325 F1: Shares surrendered to pay taxes applicable to vesting of restricted stock units. F2: End-of-period holdings reflect the vesting of restricted stock units that were previously reported. |
| Common Shares - Restricted Stock UnitsSEC Table I · non-derivative | Direct | 24,329 |
Reported balance
Holding disclosure · report date 2018-01-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 24,329 F2: End-of-period holdings reflect the vesting of restricted stock units that were previously reported. |
| Common Shares - Deferral PlanSEC Table I · non-derivative | IndirectPlan Agent | 844.741 |
Reported balance
Holding disclosure · report date 2018-01-03 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 844.741 F3: Shares of Pentair plc common shares will be delivered to the reporting person in accordance with their irrevocable deferral election. F4: End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a). |
| Common Shares - ESOPSEC Table I · non-derivative | IndirectBy ESOP | 79.052 |
Reported balance
Holding disclosure · report date 2018-01-03 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 79.052 F4: End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a). |
Filing footnotes · ownership attribution and instrument terms
F1: Shares surrendered to pay taxes applicable to vesting of restricted stock units.
F2: End-of-period holdings reflect the vesting of restricted stock units that were previously reported.
F3: Shares of Pentair plc common shares will be delivered to the reporting person in accordance with their irrevocable deferral election.
F4: End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to Section 16(a).
ROCKWELL AUTOMATION, INC
Report date May 19, 2020 · Filed May 20, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,970 |
Reported balance
After 2020-05-19 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-05-19 · Exercise / conversion · Acquired 4,100 · Balance 6,970 |
| Common StockSEC Table I · non-derivative | Direct | 2,870 |
Reported balance
After 2020-05-19 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-05-19 · Sale · Disposed 4,100 · Balance 2,870 F1: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $205.1100 to $205.2198. 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. F2: Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
| Employee stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $155.85 · Expires 2029-01-11 | Direct | 8,200 |
Reported balance
After 2020-05-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-05-19 · Exercise / conversion · Disposed 4,100 · Balance 8,200 |
Filing footnotes · ownership attribution and instrument terms
F1: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $205.1100 to $205.2198. 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.
F2: Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 19, 2020 Filed May 20, 2020 13:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee stock option (right to buy) · Derivative | 4,100 | $0.00 Strike: $155.85 | $0.00 |
DisclosureSEC source: 0001246360-20-001249 · form.xml · derivative · entry 3 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,200 Underlying: Common Stock · 4,100 shares Expires 2029-01-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 19, 2020 Filed May 20, 2020 13:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 4,100 | $205.20 | $841,333.12 |
DisclosureSEC source: 0001246360-20-001249 · form.xml · nonDerivative · entry 2 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,870 F1 · price: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $205.1100 to $205.2198. 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. F2 · ownership.direct: Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| May 19, 2020 Filed May 20, 2020 13:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 4,100 | $155.85 | $638,985.00 |
DisclosureSEC source: 0001246360-20-001249 · form.xml · nonDerivative · entry 1 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,970 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 17:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee stock option (right to buy) · Derivative | 10,100 | $0.00 Strike: $196.43 | $0.00 |
DisclosureSEC source: 0001246360-19-002605 · form.xml · derivative · entry 2 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,100 Underlying: Common Stock · 10,100 shares Expires 2029-12-05 F1 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 17:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 620 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002605 · form.xml · nonDerivative · entry 1 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,870 F2 · acquired: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F3 · ownership.direct: Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 00:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee stock option (right to buy) · Derivative | 12,300 | $0.00 Strike: $155.85 | $0.00 |
DisclosureSEC source: 0001246360-19-000178 · form.xml · derivative · entry 2 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,300 Underlying: Common Stock · 12,300 shares Expires 2029-01-11 F1 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 00:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 2,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-000178 · form.xml · nonDerivative · entry 1 Keegans Karen L. · CIK 0001606486 · Senior Vice President, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,250 F2 · kind: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F3 · shares: Shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 00:00 UTC | PENTAIR plc PNR · Entity 3537 | Tax withholdingCommon Shares | 504 | $70.80 | $35,683.20 |
DisclosureSEC source: 0001140361-18-000905 · doc1.xml · nonDerivative · entry 1 Keegans Karen L. · CIK 0001606486 · SVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,325 F1 · kind: Shares surrendered to pay taxes applicable to vesting of restricted stock units. F2 · balance_after: End-of-period holdings reflect the vesting of restricted stock units that were previously reported. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 20:54 UTC | PENTAIR plc PNR · Entity 3537 | Tax withholdingCommon Shares | 301 | $66.35 | $19,971.35 |
DisclosureSEC source: 0001140361-17-025495 · doc1.xml · nonDerivative · entry 1 Keegans Karen L. · CIK 0001606486 · SVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 535 F1 · kind: Shares surrendered to pay taxes applicable to vesting of restricted stock units. F2 · balance_after: End-of-period holdings reflect the vesting of restricted stock units that were previously reported. Read SEC document |
| January 03, 2017 Filed Jan 6, 2017 02:11 UTC | PENTAIR plc PNR · Entity 3537 | GrantEmployee Stock Option (right to buy) · Derivative | 18,225 | $0.00 Strike: $57.95 | $0.00 |
DisclosureSEC source: 0001140361-17-000887 · doc1.xml · derivative · entry 3 Keegans Karen L. · CIK 0001606486 · SVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,225 Underlying: Common Shares · 18,225 shares Expires 2027-01-03 F3 · kind: Employee stock option granted under the Pentair plc 2012 Stock and Incentive Plan. F4 · derivative.exercise_date: One-third of the stock options become exercisable on the first, second, and third anniversary of the grant. Read SEC document |
| January 03, 2017 Filed Jan 6, 2017 02:11 UTC | PENTAIR plc PNR · Entity 3537 | GrantCommon Shares - Restricted Stock Units | 3,883 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-000887 · doc1.xml · nonDerivative · entry 1 Keegans Karen L. · CIK 0001606486 · SVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,295 F1 · kind: Restricted stock units granted pursuant to and subject to a vesting condition of the Pentair plc 2012 Stock and Incentive Plan. Each restricted stock unit represents a right to receive one Pentair plc common share upon vesting. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.