Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Sr. VP, HR | August 24, 2018 | August 27, 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 August 24, 2018 · Filed August 27, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,967 |
Reported balance
After 2018-08-24 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-08-24 · Exercise / conversion · Acquired 4,500 · Balance 15,967 |
| Common StockSEC Table I · non-derivative | Direct | 11,467 |
Reported balance
After 2018-08-24 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2018-08-24 · Sale · Disposed 4,500 · Balance 11,467 F3: Includes 2,170 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 $104.08 · Expires 2025-12-03 | Direct | 9,300 |
Reported balance
After 2018-08-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-08-24 · Exercise / conversion · Disposed 4,500 · Balance 9,300 F2: The option vests in three substantially equal annual installments beginning on the date exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan | 106.6682 |
Reported balance
Holding disclosure · report date 2018-08-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 106.6682 F1: 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 6/30/2018. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 6/30/2018. 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.
F2: The option vests in three substantially equal annual installments beginning on the date exercisable.
F3: Includes 2,170 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 |
|---|---|---|---|---|---|---|
| August 24, 2018 Filed Aug 27, 2018 15:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 4,500 | $0.00 Strike: $104.08 | $0.00 |
DisclosureSEC source: 0001246360-18-002114 · form.xml · derivative · entry 4 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,300 Underlying: Common Stock · 4,500 shares Expires 2025-12-03 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. F2 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 15:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 4,500 | $175.02 | $787,595.85 |
DisclosureSEC source: 0001246360-18-002114 · form.xml · nonDerivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,467 F3 · ownership.direct: Includes 2,170 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 15:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 4,500 | $104.08 | $468,360.00 |
DisclosureSEC source: 0001246360-18-002114 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,967 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 01, 2018 Filed May 10, 2018 19:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 275 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-001508 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,467 F2 · ownership.direct: Includes 2,170 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 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,300 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · derivative · entry 13 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,300 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 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 11,300 | $0.00 Strike: $115.69 | $0.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · derivative · entry 12 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,300 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 |
| January 26, 2018 Filed Jan 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 8,900 | $0.00 Strike: $108.89 | $0.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · derivative · entry 11 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,900 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 |
| January 26, 2018 Filed Jan 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 11,500 | $0.00 Strike: $80.11 | $0.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · derivative · entry 10 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,500 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 |
| January 26, 2018 Filed Jan 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Tax withholdingCommon Stock | 1,884 | $203.01 | $382,470.84 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 9 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,742 F5 · ownership.direct: Includes 2,170 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 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 8,917 | $202.56 | $1,806,197.20 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 8 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,626 F4 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $202.11 to $202.87. 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 |
| January 26, 2018 Filed Jan 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 8,266 | $201.35 | $1,664,359.10 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 7 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,543 F3 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $201.00 to $201.98. 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 |
| January 26, 2018 Filed Jan 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 11,617 | $200.54 | $2,329,687.12 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 6 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,809 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $200.00 to $200.99. 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 |
| January 26, 2018 Filed Jan 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,300 | $74.14 | $96,382.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 5 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,426 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 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 11,300 | $115.69 | $1,307,297.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 4 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,126 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 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 8,900 | $108.89 | $969,121.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,826 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 30, 2018 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 11,500 | $80.11 | $921,265.00 |
DisclosureSEC source: 0001246360-18-000375 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,926 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 16:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee Stock Option (right to buy) · Derivative | 8,300 | $0.00 Strike: $192.86 | $0.00 |
DisclosureSEC source: 0001246360-17-003304 · form.xml · derivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,300 Underlying: Common Stock · 8,300 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 16:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 510 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003304 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,426 F3 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F4 · ownership.direct: Includes 2,170 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 19:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 2,701 | $192.30 | $519,396.63 |
DisclosureSEC source: 0001246360-17-003205 · form.xml · nonDerivative · entry 5 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,916 F8 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $192.10 to $192.59. 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. F9 · ownership.direct: Includes 1,660 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 19:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 2,381 | $191.60 | $456,203.41 |
DisclosureSEC source: 0001246360-17-003205 · form.xml · nonDerivative · entry 4 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,617 F6 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $191.03 to $192.015. 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. F7 · 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. Read SEC document |
| December 02, 2017 Filed Dec 5, 2017 19:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 4,432 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003205 · form.xml · derivative · entry 7 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,432 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 19:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 4,432 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003205 · form.xml · nonDerivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,998 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, 2017 Filed Dec 5, 2017 19:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 58 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003205 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,566 Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 14:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 4,432 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-002890 · form.xml · derivative · entry 1 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,432 Underlying: Common Stock · 4,432 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 |
| February 27, 2017 Filed Feb 28, 2017 01:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,700 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-17-001073 · form.xml · derivative · entry 4 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,300 Underlying: Common Stock · 13,700 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 |
| February 27, 2017 Filed Feb 28, 2017 01:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 13,700 | $150.92 | $2,067,591.67 |
DisclosureSEC source: 0001246360-17-001073 · form.xml · nonDerivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,624 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $150.9066 to $151.02. 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 2,310 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 01:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 13,700 | $74.14 | $1,015,718.00 |
DisclosureSEC source: 0001246360-17-001073 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,324 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 06, 2016 Filed Dec 8, 2016 17:04 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee Stock Option (Right to Buy) · Derivative | 11,600 | $0.00 Strike: $136.40 | $0.00 |
DisclosureSEC source: 0001246360-16-007376 · form.xml · derivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,600 Underlying: Common Stock · 11,600 shares Expires 2026-12-06 F4 · 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 17:04 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 720 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007376 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,624 F2 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F3 · ownership.direct: Includes 2,310 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 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 885 | $137.41 | $121,608.03 |
DisclosureSEC source: 0001246360-16-007326 · form.xml · nonDerivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,904 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 1,590 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 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 195 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007326 · form.xml · derivative · entry 5 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 195 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 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 195 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007326 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,789 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 14, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,400 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · derivative · entry 8 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,400 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 |
| November 14, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Tax withholdingCommon Stock | 736 | $132.22 | $97,313.92 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · nonDerivative · entry 6 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,594 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · nonDerivative · entry 5 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,330 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 10, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 17,800 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · derivative · entry 7 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,400 Underlying: Common Stock · 17,800 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 |
| November 10, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 88 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · nonDerivative · entry 4 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,930 Read SEC document |
| November 10, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 17,800 | $130.58 | $2,324,368.50 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · nonDerivative · entry 3 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,018 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $130.4100 to $130.8400. 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 2,280 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| November 10, 2016 Filed Nov 15, 2016 20:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 17,800 | $69.57 | $1,238,346.00 |
DisclosureSEC source: 0001246360-16-007171 · form.xml · nonDerivative · entry 2 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,818 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 16:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 195 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006941 · form.xml · derivative · entry 1 Schmitt Susan · CIK 0001405747 · Sr. VP, HR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195 Underlying: Common Stock · 195 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.