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 09, 2016 Filed Nov 11, 2016 01:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-16-007127 · form.xml · derivative · entry 4 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,400 Underlying: Common Stock · 6,000 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 09, 2016 Filed Nov 11, 2016 01:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | OtherCommon Stock | 5,518.3287 | $126.85 | $700,000.00 |
DisclosureSEC source: 0001246360-16-007127 · form.xml · nonDerivative · entry 3 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Indirect · By Savings Plan Disclosed balance after: 1,541.0822 F3 · ownership.nature: 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 11/10/2016. 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 09, 2016 Filed Nov 11, 2016 01:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 6,000 | $127.27 | $763,647.00 |
DisclosureSEC source: 0001246360-16-007127 · form.xml · nonDerivative · entry 2 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,300 F1 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $127.2500 to $127.2800. 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: Includes 640 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| November 09, 2016 Filed Nov 11, 2016 01:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 6,000 | $46.16 | $276,960.00 |
DisclosureSEC source: 0001246360-16-007127 · form.xml · nonDerivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,300 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 03, 2016 Filed Oct 5, 2016 16:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006938 · form.xml · derivative · entry 1 DORGAN DAVID M · CIK 0001204907 · VP and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56 Underlying: Common Stock · 56 shares Expires 2016-12-04 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 4, 2013, 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 determined on October 3, 2016, 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 4, 2016, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. 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.