Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CARRIER GLOBAL CorpCARR · Entity 3043 | President, CSE | July 24, 2026 | July 24, 2026 |
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Senior Vice President | December 10, 2020 | December 14, 2020 |
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.
CARRIER GLOBAL Corp
Report date July 24, 2026 · Filed July 24, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $72.07 · Expires 2036-06-30 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-07-24 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The reporting person was also awarded 12,270 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person was also awarded 12,270 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.
ROCKWELL AUTOMATION, INC
Report date December 10, 2020 · Filed December 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted stock unitsSEC Table II · derivative / convertible security · Expires 2023-12-10 | Direct | 610 |
Reported balance
After 2020-12-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-12-10 · Grant · Acquired 610 · Balance 610 F1: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. F2: Awarded under the Company's 2020 Long-Term Incentives Plan. F3: The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
| Employee stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $246.77 · Expires 2030-12-10 | Direct | 2,750 |
Reported balance
After 2020-12-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-12-10 · Grant · Acquired 2,750 · Balance 2,750 F2: Awarded under the Company's 2020 Long-Term Incentives Plan. F4: The option vests in three substantially equal annual installments beginning on the date exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F2: Awarded under the Company's 2020 Long-Term Incentives Plan.
F3: The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
F4: The option vests in three substantially equal annual installments beginning on the date exercisable.
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 |
|---|---|---|---|---|---|---|
| December 10, 2020 Filed Dec 14, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee stock option (right to buy) · Derivative | 2,750 | $0.00 Strike: $246.77 | $0.00 |
DisclosureSEC source: 0001246360-20-001927 · form.xml · derivative · entry 2 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Underlying: Common Stock · 2,750 shares Expires 2030-12-10 F2 · kind: Awarded under the Company's 2020 Long-Term Incentives Plan. F4 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantRestricted stock units · Derivative | 610 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-20-001927 · form.xml · derivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 610 Underlying: Common Stock · 610 shares Expires 2023-12-10 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. F2 · kind: Awarded under the Company's 2020 Long-Term Incentives Plan. F3 · derivative.exercise_date: The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 09, 2020 Filed Dec 10, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 1 | $251.15 | $251.15 |
DisclosureSEC source: 0001246360-20-001889 · form.xml · nonDerivative · entry 4 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,385 F3 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan entered into 5/19/2020 to cover taxes due on restricted stock units and performance shares that vested on 12/8/2020. Read SEC document |
| December 09, 2020 Filed Dec 10, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 344 | $249.65 | $85,880.74 |
DisclosureSEC source: 0001246360-20-001889 · form.xml · nonDerivative · entry 3 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,386 F3 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan entered into 5/19/2020 to cover taxes due on restricted stock units and performance shares that vested on 12/8/2020. F4 · price: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $249.5150 to $249.81. 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 |
| December 08, 2020 Filed Dec 10, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 521 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-20-001889 · form.xml · derivative · entry 6 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 521 shares Expires 2020-12-08 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_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionRestricted stock units · Derivative | 240 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-20-001889 · form.xml · derivative · entry 5 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 240 shares Expires 2020-12-08 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 240 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-20-001889 · form.xml · nonDerivative · entry 2 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,730 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, 2020 Filed Dec 10, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 521 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-20-001889 · form.xml · nonDerivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,490 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, 2020 Filed Nov 30, 2020 13:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 1,500 | $255.00 | $382,500.00 |
DisclosureSEC source: 0001246360-20-001853 · form.xml · nonDerivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 969 Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 521 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-20-001593 · form.xml · derivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 521 Underlying: Common Stock · 521 shares Expires 2020-12-08 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 8, 2017, 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 8, 2020, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. Read SEC document |
| December 09, 2019 Filed Dec 10, 2019 22:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 253 | $198.84 | $50,305.96 |
DisclosureSEC source: 0001246360-19-002647 · form.xml · nonDerivative · entry 3 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,469 F3 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan entered into on 7/29/2019 to cover taxes due on restricted stock and performance shares that vested on 12/06/2019. F4 · price: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $198.80 to $198.84. 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 |
| December 06, 2019 Filed Dec 10, 2019 22:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 362 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002647 · form.xml · derivative · entry 5 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 362 shares Expires 2019-12-06 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. F2 · 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 06, 2019 Filed Dec 10, 2019 22:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionRestricted stock units · Derivative | 210 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002647 · form.xml · derivative · entry 4 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 210 shares Expires 2019-12-06 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 22:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 362 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002647 · form.xml · nonDerivative · entry 2 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,722 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, 2019 Filed Dec 10, 2019 22:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 210 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002647 · form.xml · nonDerivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,360 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, 2019 Filed Dec 9, 2019 17:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantRestricted stock units · Derivative | 390 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002598 · form.xml · derivative · entry 2 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 390 Underlying: Common Stock · 390 shares Expires 2022-12-05 F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. F3 · kind: Restricted stock units awarded under the Company's 2012 Long-Term Incentives Plan. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 17:42 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee stock option (right to buy) · Derivative | 6,300 | $0.00 Strike: $196.43 | $0.00 |
DisclosureSEC source: 0001246360-19-002598 · form.xml · derivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,300 Underlying: Common Stock · 6,300 shares Expires 2029-12-05 F1 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| October 01, 2019 Filed Oct 2, 2019 23:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 362 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002176 · form.xml · derivative · entry 1 Donato Thomas · CIK 0001762550 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 362 Underlying: Common Stock · 362 shares Expires 2019-12-06 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 6, 2016, 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 6, 2019, 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.