Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKWELL AUTOMATION, INCROK · Entity 906 | VP and Controller | November 18, 2019 | November 20, 2019 |
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.
ROCKWELL AUTOMATION, INC
Report date November 18, 2019 · Filed November 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan | 0 |
Reported balance
After 2019-11-18 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-11-18 · Other · Disposed 1,717.6222 · Balance 0 F2: 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 11/18/2019. 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. |
| Common Stock Share EquivalentsSEC Table II · derivative / convertible security · Conversion / exercise price $197.67 | IndirectNonqual.Savings Plan | 0 |
Reported balance
After 2019-11-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-11-18 · Other · Disposed 178.2171 · Balance 0 F3: Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 11/18/2019. 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. F4: The share equivalents are payable in cash upon retirement or after termination of employment. |
| Common StockSEC Table I · non-derivative | Direct | 7,165 |
Reported balance
Holding disclosure · report date 2019-11-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,165 F1: Includes 490 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 490 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F2: 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 11/18/2019. 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.
F3: Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 11/18/2019. 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.
F4: The share equivalents are payable in cash upon retirement or after termination of employment.
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 |
|---|---|---|---|---|---|---|
| November 18, 2019 Filed Nov 20, 2019 21:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | OtherCommon Stock Share Equivalents · Derivative | 178.2171 | $0.00 Strike: $197.67 | $0.00 |
DisclosureSEC source: 0001246360-19-002459 · form.xml · derivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Indirect · Nonqual.Savings Plan Disclosed balance after: 0 Underlying: Common Stock · 178.2171 shares Expires not disclosed F3 · shares: Includes share equivalents represented by Company stock fund units acquired under the Company Nonqualified Savings Plan since the date last reported for this person based on information furnished by the Plan Administrator as of 11/18/2019. 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. F4 · derivative.exercise_date: The share equivalents are payable in cash upon retirement or after termination of employment. F4 · derivative.expiration_date: The share equivalents are payable in cash upon retirement or after termination of employment. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | OtherCommon Stock | 1,717.6222 | $197.67 | $339,522.38 |
DisclosureSEC source: 0001246360-19-002459 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Indirect · By Savings Plan Disclosed balance after: 0 F2 · shares: 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 11/18/2019. 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. Read SEC document |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $115.69 | $0.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · derivative · entry 9 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,200 shares Expires 2024-12-02 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 |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,400 | $0.00 Strike: $80.11 | $0.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · derivative · entry 8 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,400 shares Expires 2022-12-06 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 |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,600 | $0.00 Strike: $108.89 | $0.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · derivative · entry 7 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,600 shares Expires 2023-12-04 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 |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · nonDerivative · entry 6 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,165 F3 · ownership.direct: Includes 490 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 10,148 | $198.22 | $2,011,549.75 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · nonDerivative · entry 5 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,191 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $198.0700 to $198.2865. 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. Read SEC document |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 3,400 | $80.11 | $272,374.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · nonDerivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,339 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 |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,600 | $108.89 | $283,114.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,939 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 |
| November 14, 2019 Filed Nov 16, 2019 00:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 3,200 | $115.69 | $370,208.00 |
DisclosureSEC source: 0001246360-19-002446 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,339 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 |
| October 01, 2019 Filed Oct 2, 2019 23:50 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 324 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002178 · form.xml · derivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324 Underlying: Common Stock · 324 shares Expires 2019-12-06 F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). F2 · shares: On December 6, 2016, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received. F3 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 6, 2019, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. Read SEC document |
| August 26, 2019 Filed Aug 27, 2019 22:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002021 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,139 F2 · ownership.direct: Includes 490 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee stock option (right to buy) · Derivative | 2,500 | $0.00 Strike: $171.46 | $0.00 |
DisclosureSEC source: 0001246360-18-002610 · form.xml · derivative · entry 8 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2028-12-04 F7 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 200 | $176.24 | $35,248.50 |
DisclosureSEC source: 0001246360-18-002610 · form.xml · nonDerivative · entry 5 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,189 F8 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/23/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018. F10 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $176.2350 to $176.2500. 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. F11 · ownership.direct: Includes 490 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 644 | $176.18 | $113,458.50 |
DisclosureSEC source: 0001246360-18-002610 · form.xml · nonDerivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,389 F8 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/23/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018. F9 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.21 to $176.18. 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. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 160 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002610 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,033 F6 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. Read SEC document |
| December 03, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002610 · form.xml · derivative · entry 7 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,520 shares Expires 2018-12-03 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. F5 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| December 03, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002610 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,873 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. F5 · shares: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| October 01, 2018 Filed Oct 2, 2018 16:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002296 · form.xml · derivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,520 Underlying: Common Stock · 1,520 shares Expires 2018-12-03 F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). F2 · shares: On December 3, 2015, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received. F3 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 3, 2018, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 22:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 4,900 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-18-000371 · form.xml · derivative · entry 6 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,900 shares Expires 2021-12-01 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 |
| January 26, 2018 Filed Jan 29, 2018 22:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,500 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-18-000371 · form.xml · derivative · entry 5 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,500 shares Expires 2020-12-07 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 |
| January 26, 2018 Filed Jan 29, 2018 22:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 10,400 | $202.41 | $2,105,034.88 |
DisclosureSEC source: 0001246360-18-000371 · form.xml · nonDerivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,353 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $202.395 to $202.4124. 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. F3 · ownership.direct: Includes 580 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 22:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 4,900 | $74.14 | $363,286.00 |
DisclosureSEC source: 0001246360-18-000371 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,753 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 |
| January 26, 2018 Filed Jan 29, 2018 22:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 3,500 | $69.57 | $243,495.00 |
DisclosureSEC source: 0001246360-18-000371 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,853 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 08, 2017 Filed Dec 12, 2017 16:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee Stock Option (right to buy) · Derivative | 2,300 | $0.00 Strike: $192.86 | $0.00 |
DisclosureSEC source: 0001246360-17-003303 · form.xml · derivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,300 Underlying: Common Stock · 2,300 shares Expires 2027-12-08 F2 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 08, 2017 Filed Dec 12, 2017 16:00 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 140 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003303 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,353 F3 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F4 · ownership.direct: Includes 580 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 514 | $190.90 | $98,122.19 |
DisclosureSEC source: 0001246360-17-003192 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,213 F6 · shares: Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/22/2017 to cover taxes due on restricted stock and performance shares that vested on 12/02/2017. F7 · ownership.direct: Includes 440 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 02, 2017 Filed Dec 5, 2017 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 1,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003192 · form.xml · derivative · entry 5 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,272 shares Expires 2017-12-02 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. F5 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| December 02, 2017 Filed Dec 5, 2017 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003192 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,727 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. F5 · shares: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 14:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 1,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-002888 · form.xml · derivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,272 Underlying: Common Stock · 1,272 shares Expires 2017-12-02 F1 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). F2 · shares: On December 2, 2014, the reporting person was granted a target number of performance shares, with the payout from 0 to 200% of target based on the Company's total shareowner return compared to the performance of companies in the S&P 500 Index over a three-year period. The payout was calculated at the end of the three-year period resulting in the reported number of performance shares received. F3 · derivative.exercise_date: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). The performance shares vest on December 2, 2017, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 15:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-17-002590 · form.xml · derivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,000 shares Expires 2020-12-07 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 |
| August 16, 2017 Filed Aug 17, 2017 15:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 3,000 | $165.05 | $495,160.50 |
DisclosureSEC source: 0001246360-17-002590 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,355 F2 · ownership.direct: Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 15:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 3,000 | $69.57 | $208,710.00 |
DisclosureSEC source: 0001246360-17-002590 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,355 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 |
| August 16, 2017 Filed Oct 2, 2017 21:07 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,000 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-17-002816 · form.xml · derivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,000 shares Expires 2020-12-07 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 |
| August 16, 2017 Filed Oct 2, 2017 21:07 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 3,000 | $165.05 | $495,160.50 |
DisclosureSEC source: 0001246360-17-002816 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,455 F1 · balance_after: Amended to include 2,100 shares that were omitted from the total amount beneficially owned as last reported for this person because of an administrative error. F2 · ownership.direct: Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| August 16, 2017 Filed Oct 2, 2017 21:07 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 3,000 | $69.57 | $208,710.00 |
DisclosureSEC source: 0001246360-17-002816 · form.xml · nonDerivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,455 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. F1 · balance_after: Amended to include 2,100 shares that were omitted from the total amount beneficially owned as last reported for this person because of an administrative error. Read SEC document |
| February 13, 2017 Filed Feb 14, 2017 17:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,100 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-17-000600 · form.xml · derivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,100 shares Expires 2019-12-09 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 |
| February 13, 2017 Filed Feb 14, 2017 17:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 4,100 | $152.99 | $627,264.33 |
DisclosureSEC source: 0001246360-17-000600 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,355 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $152.7506 to $153.2206. 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. F3 · ownership.direct: Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| February 13, 2017 Filed Feb 14, 2017 17:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,100 | $46.16 | $96,936.00 |
DisclosureSEC source: 0001246360-17-000600 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100 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 |
| February 13, 2017 Filed Oct 2, 2017 21:07 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,100 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-17-002817 · form.xml · derivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,100 shares Expires 2019-12-09 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 |
| February 13, 2017 Filed Oct 2, 2017 21:07 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 4,100 | $152.99 | $627,264.33 |
DisclosureSEC source: 0001246360-17-002817 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,455 F2 · price: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $152.7506 to $153.2206. 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. F1 · balance_after: Includes 2,100 shares that were originally reported as acquired in a separate transaction but inadvertently omitted from the final total amount of shares beneficially owned following the reported transactions because of an administrative error. F3 · ownership.direct: Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| February 13, 2017 Filed Oct 2, 2017 21:07 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,100 | $46.16 | $96,936.00 |
DisclosureSEC source: 0001246360-17-002817 · form.xml · nonDerivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,555 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. F1 · balance_after: Includes 2,100 shares that were originally reported as acquired in a separate transaction but inadvertently omitted from the final total amount of shares beneficially owned following the reported transactions because of an administrative error. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee Stock Option (Right to Buy) · Derivative | 3,100 | $0.00 Strike: $136.40 | $0.00 |
DisclosureSEC source: 0001246360-16-007372 · form.xml · derivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,100 Underlying: Common Stock · 3,100 shares Expires 2026-12-06 F2 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 190 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007372 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,455 F3 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F4 · ownership.direct: Includes 630 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 15:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 91 | $135.95 | $12,371.14 |
DisclosureSEC source: 0001246360-16-007313 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,265 F6 · shares: Sale of shares pursuant to Rule 10b5-1 trading plan dated 05/25/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016. F7 · ownership.direct: Includes 440 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 04, 2016 Filed Dec 6, 2016 15:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007313 · form.xml · derivative · entry 5 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56 shares Expires 2016-12-04 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. F5 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| December 04, 2016 Filed Dec 6, 2016 15:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007313 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,356 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. F5 · shares: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,300 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-16-007252 · form.xml · derivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100 Underlying: Common Stock · 2,300 shares Expires 2019-12-09 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 |
| November 30, 2016 Filed Dec 1, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 2,300 | $133.79 | $307,707.11 |
DisclosureSEC source: 0001246360-16-007252 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,300 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $133.7830 to $133.7860. 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. F3 · ownership.direct: Includes 640 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,300 | $46.16 | $106,168.00 |
DisclosureSEC source: 0001246360-16-007252 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,600 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.