Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ROCKWELL AUTOMATION, INC
Report date January 27, 2017 · Filed January 31, 2017
Section 16 reporting ended · disclosed 2017-01-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,388 |
Ending reported balance
After 2017-01-30 transaction · row 3
2 source rows · reconciled sequenceRow 2 · 2017-01-27 · Disposition to issuer · Disposed 959 · Balance 6,459 Row 3 · 2017-01-30 · Sale · Disposed 1,071 · Balance 5,388 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan | 213.1158 |
Reported balance
Holding disclosure · report date 2017-01-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 213.1158 F1: 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 12/31/2016. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 12/31/2016. 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.
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 |
|---|---|---|---|---|---|---|
| January 30, 2017 Filed Jan 31, 2017 14:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 1,071 | $148.51 | $159,051.53 |
DisclosureSEC source: 0001246360-17-000389 · form.xml · nonDerivative · entry 3 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,388 Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 14:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Disposition to issuerCommon Stock | 959 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-000389 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,459 Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 19:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 588 | $137.38 | $80,781.56 |
DisclosureSEC source: 0001246360-16-007390 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,418 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $137.38 to $137.39. 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 · shares: Shares sold pursuant to a Rule 10b5-1 trading plan entered into on 8/31/2016. F4 · ownership.direct: Includes 2,030 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 | 592 | $135.97 | $80,494.00 |
DisclosureSEC source: 0001246360-16-007314 · form.xml · nonDerivative · entry 3 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,006 F6 · shares: Sale of shares pursuant to Rule 10b5-1 trading plan dated 8/31/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016. F7 · ownership.direct: Includes 2,030 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 | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007314 · form.xml · derivative · entry 5 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 260 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 | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007314 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,598 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 20:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 4,200 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-16-007256 · form.xml · derivative · entry 5 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,200 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 |
| November 30, 2016 Filed Dec 1, 2016 20:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 4,200 | $133.80 | $561,980.16 |
DisclosureSEC source: 0001246360-16-007256 · form.xml · nonDerivative · entry 4 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,338 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $133.8000 to $134.0000. 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 2,950 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 20:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 4,200 | $74.14 | $311,388.00 |
DisclosureSEC source: 0001246360-16-007256 · form.xml · nonDerivative · entry 3 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,538 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 25, 2016 Filed Dec 1, 2016 20:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007256 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,338 Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 20:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 8,000 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-16-007146 · form.xml · derivative · entry 4 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,200 Underlying: Common Stock · 8,000 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 |
| November 11, 2016 Filed Nov 14, 2016 20:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 8,000 | $130.96 | $1,047,712.80 |
DisclosureSEC source: 0001246360-16-007146 · form.xml · nonDerivative · entry 3 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,338 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $130.6600 to $131.2600. 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 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 20:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 8,000 | $74.14 | $593,120.00 |
DisclosureSEC source: 0001246360-16-007146 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,338 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 11, 2016 01:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-16-007123 · form.xml · derivative · entry 7 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,200 Underlying: Common Stock · 6,000 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 |
| November 10, 2016 Filed Nov 11, 2016 01:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 6,000 | $129.53 | $777,193.20 |
DisclosureSEC source: 0001246360-16-007123 · form.xml · nonDerivative · entry 6 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,338 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $129.2700 to $129.8500. 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 2,950 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 11, 2016 01:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 6,000 | $74.14 | $444,840.00 |
DisclosureSEC source: 0001246360-16-007123 · form.xml · nonDerivative · entry 5 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,338 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 01:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 1,373 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007123 · form.xml · nonDerivative · entry 4 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,338 Read SEC document |
| November 09, 2016 Filed Nov 11, 2016 01:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 1,600 | $127.85 | $204,564.00 |
DisclosureSEC source: 0001246360-16-007123 · form.xml · nonDerivative · entry 3 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,711 Read SEC document |
| November 09, 2016 Filed Nov 11, 2016 01:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 1,466 | $125.45 | $183,907.21 |
DisclosureSEC source: 0001246360-16-007123 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 14,300 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-16-007049 · form.xml · derivative · entry 5 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,300 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 |
| October 31, 2016 Filed Nov 1, 2016 21:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 12,145 | $119.92 | $1,456,436.90 |
DisclosureSEC source: 0001246360-16-007049 · form.xml · nonDerivative · entry 4 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,777 F3 · shares: Shares sold pursuant to a Rule 10b5-1 trading plan entered into on 8/31/2016. F4 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $119.79 to $120.33. 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. F5 · ownership.direct: Includes 2,950 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 19,069 | $119.45 | $2,277,782.52 |
DisclosureSEC source: 0001246360-16-007049 · form.xml · nonDerivative · entry 3 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,922 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $118.79 to $119.78. 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 · shares: Shares sold pursuant to a Rule 10b5-1 trading plan entered into on 8/31/2016. Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 21:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 14,300 | $69.57 | $994,851.00 |
DisclosureSEC source: 0001246360-16-007049 · form.xml · nonDerivative · entry 2 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,991 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 | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006937 · form.xml · derivative · entry 1 HAGERMAN DOUGLAS M · CIK 0001287504 · Sr. VP, Gen Counsel and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260 Underlying: Common Stock · 260 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.