Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Senior Vice President | October 02, 2017 | October 04, 2017 |
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 October 02, 2017 · Filed October 04, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Performance SharesSEC Table II · derivative / convertible security · Expires 2017-12-02 | Direct | 1,010 |
Reported balance
After 2017-10-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-10-02 · Grant · Acquired 1,010 · Balance 1,010 F1: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). F2: 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: 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. |
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: 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: 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.
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 02, 2017 Filed Oct 4, 2017 14:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 1,010 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-002882 · form.xml · derivative · entry 1 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,010 Underlying: Common Stock · 1,010 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 |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-17-002053 · form.xml · derivative · entry 4 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,700 Underlying: Common Stock · 5,000 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. F2 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 5,000 | $159.08 | $795,377.00 |
DisclosureSEC source: 0001246360-17-002053 · form.xml · nonDerivative · entry 3 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,169 F3 · ownership.direct: Includes 260 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 16:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 5,000 | $46.16 | $230,800.00 |
DisclosureSEC source: 0001246360-17-002053 · form.xml · nonDerivative · entry 2 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,169 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 22, 2017 Filed Feb 23, 2017 14:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 5,300 | $0.00 Strike: $29.37 | $0.00 |
DisclosureSEC source: 0001246360-17-000930 · form.xml · derivative · entry 4 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,300 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. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 14:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 5,300 | $152.98 | $810,777.57 |
DisclosureSEC source: 0001246360-17-000930 · form.xml · nonDerivative · entry 3 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,169 F2 · ownership.direct: Includes 260 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 14:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 5,300 | $29.37 | $155,661.00 |
DisclosureSEC source: 0001246360-17-000930 · form.xml · nonDerivative · entry 2 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,469 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, 2016 Filed Dec 6, 2016 15:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 73 | $135.98 | $9,926.18 |
DisclosureSEC source: 0001246360-16-007309 · form.xml · nonDerivative · entry 3 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,169 F6 · shares: Sale of shares pursuant to Rule 10b5-1 trading plan dated 08/30/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016. F7 · ownership.direct: Includes 260 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 15:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007309 · form.xml · derivative · entry 5 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44 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 15:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007309 · form.xml · nonDerivative · entry 2 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,242 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 03, 2016 Filed Oct 5, 2016 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006934 · form.xml · derivative · entry 1 Champa Kenneth M · CIK 0001677463 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44 Underlying: Common Stock · 44 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.