Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Director | December 03, 2018 | December 06, 2018 |
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 December 03, 2018 · Filed December 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 430,330 |
Reported balance
After 2018-12-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-12-03 · Exercise / conversion · Acquired 16,892 · Balance 430,330 F1: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). |
| Common StockSEC Table I · non-derivative | Direct | 422,306 |
Reported balance
After 2018-12-04 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-12-04 · Sale · Disposed 8,024 · Balance 422,306 F2: Sale of shares pursuant to Rule 10b5-1 trading plan dated 2/28/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018. F3: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.5850 to $176.25. 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. F4: Represents shares held by a revocable trust of which the reporting and his wife are trustees and beneficiaries. |
| Performance SharesSEC Table II · derivative / convertible security · Expires 2018-12-03 | Direct | 0 |
Reported balance
After 2018-12-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-12-03 · Exercise / conversion · Disposed 16,892 · Balance 0 F1: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). |
Filing footnotes · ownership attribution and instrument terms
F1: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent).
F2: Sale of shares pursuant to Rule 10b5-1 trading plan dated 2/28/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018.
F3: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.5850 to $176.25. 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.
F4: Represents shares held by a revocable trust of which the reporting and his wife are trustees and beneficiaries.
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 |
|---|---|---|---|---|---|---|
| October 03, 2016 Filed Oct 5, 2016 16:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 1,495 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006943 · form.xml · derivative · entry 1 NOSBUSCH KEITH D · CIK 0001204912 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,495 Underlying: Common Stock · 1,495 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.