Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FLOWSERVE CORPFLS · Entity 3541 | Director | May 14, 2026 | May 15, 2026 |
| Proto Labs IncPRLB · Entity 4553 | Director | May 19, 2026 | May 21, 2026 |
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Sr VP, Technology | December 10, 2021 | December 14, 2021 |
| VEECO INSTRUMENTS INCVECO · Entity 4322 | Director | May 08, 2026 | May 11, 2026 |
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.
FLOWSERVE CORP
Report date May 14, 2026 · Filed May 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom StockSEC Table II · derivative / convertible security | Direct | 28,426 |
Reported balance
After 2026-05-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-14 · Grant · Acquired 2,573 · Balance 28,426 F1: Each share of phantom stock is the economic equivalent of one share of common stock, and represents director compensation deferred in the form of common stock pursuant to the issuer's deferred compensation plan. F2: The shares of phantom stock become payable in the form of common stock upon the reporting person's termination of service as a member of the issuer's board of directors. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of phantom stock is the economic equivalent of one share of common stock, and represents director compensation deferred in the form of common stock pursuant to the issuer's deferred compensation plan.
F2: The shares of phantom stock become payable in the form of common stock upon the reporting person's termination of service as a member of the issuer's board of directors.
Proto Labs Inc
Report date May 19, 2026 · Filed May 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,863 |
Reported balance
After 2026-05-19 transaction · row 1
1 source rowRow 1 · 2026-05-19 · Grant · Acquired 2,210 · Balance 26,863 F1: Deferred stock units that vest in full on the earlier of the first anniversary of the grant date or the date of the 2027 Annual Meeting of Shareholders but must be retained until the reporting person's service on the Company's Board of Directors ends. |
Filing footnotes · ownership attribution and instrument terms
F1: Deferred stock units that vest in full on the earlier of the first anniversary of the grant date or the date of the 2027 Annual Meeting of Shareholders but must be retained until the reporting person's service on the Company's Board of Directors ends.
ROCKWELL AUTOMATION, INC
Report date December 10, 2021 · Filed December 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,957 |
Reported balance
After 2021-12-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-12-10 · Exercise / conversion · Acquired 365 · Balance 31,957 |
| Common StockSEC Table I · non-derivative | Direct | 31,784 |
Reported balance
After 2021-12-13 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-12-13 · Sale · Disposed 173 · Balance 31,784 F1: Sale of shares pursuant to a 10b5-1 trading plan entered into on 2/24/2021 to cover taxes due on restricted stock units that vested on 12/10/2021. F2: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $349.9001 to $350.36. 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: Includes 690 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2023-12-10 | Direct | 730 |
Reported balance
After 2021-12-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-10 · Exercise / conversion · Disposed 365 · Balance 730 F5: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock. F6: The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan | 1,094.25 |
Reported balance
Holding disclosure · report date 2021-12-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,094.25 F4: Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Sale of shares pursuant to a 10b5-1 trading plan entered into on 2/24/2021 to cover taxes due on restricted stock units that vested on 12/10/2021.
F2: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $349.9001 to $350.36. 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: Includes 690 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met.
F4: Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/1/2021.
F5: Each restricted stock unit represents a contingent right to receive one share of Rockwell Automation common stock.
F6: The restricted stock units vest in three substantially equal annual installments beginning on the date exercisable.
VEECO INSTRUMENTS INC
Report date May 08, 2026 · Filed May 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 33,079 |
Reported balance
After 2026-05-08 transaction · row 1
1 source rowRow 1 · 2026-05-08 · Grant · Acquired 2,945 · Balance 33,079 F1: These shares were awarded as restricted stock pursuant to the Veeco Instruments Inc. 2019 Stock Incentive Plan in consideration of services as a director. These shares are subject to certain restrictions which shall lapse on the earlier to occur of: (i) the date immediately preceding the date of the Company's 2027 Annual Meeting of stockholders and (ii) the first anniversary of the award date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were awarded as restricted stock pursuant to the Veeco Instruments Inc. 2019 Stock Incentive Plan in consideration of services as a director. These shares are subject to certain restrictions which shall lapse on the earlier to occur of: (i) the date immediately preceding the date of the Company's 2027 Annual Meeting of stockholders and (ii) the first anniversary of the award date.
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 04, 2017 Filed Aug 7, 2017 14:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,400 | $69.57 | $97,398.00 |
DisclosureSEC source: 0001246360-17-002510 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,273 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 31, 2017 Filed Jun 1, 2017 17:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,500 | $0.00 Strike: $74.14 | $0.00 |
DisclosureSEC source: 0001246360-17-002055 · form.xml · derivative · entry 6 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,700 Underlying: Common Stock · 2,500 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. 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 17:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-17-002055 · form.xml · derivative · entry 5 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,400 Underlying: Common Stock · 7,000 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. 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 17:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 9,500 | $159.72 | $1,517,326.70 |
DisclosureSEC source: 0001246360-17-002055 · form.xml · nonDerivative · entry 4 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,873 F3 · ownership.direct: Includes 2,940 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 17:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,500 | $74.14 | $185,350.00 |
DisclosureSEC source: 0001246360-17-002055 · form.xml · nonDerivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,373 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 31, 2017 Filed Jun 1, 2017 17:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 7,000 | $69.57 | $486,990.00 |
DisclosureSEC source: 0001246360-17-002055 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,873 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 18, 2017 Filed May 30, 2017 19:44 UTC | Proto Labs Inc PRLB · Entity 4553 | GrantCommon Stock | 1,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-010295 · rdgdoc.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,172 Read SEC document |
| May 18, 2017 Filed May 30, 2017 19:44 UTC | Proto Labs Inc PRLB · Entity 4553 | GrantCommon Stock | 1,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-010295 · rdgdoc.xml · nonDerivative · entry 1 Chand Sujeet · CIK 0001388884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,586 F1 · shares: The restricted stock units vest in full on the earlier of 5/18/18 or the date of the Company's 2018 annual meeting of shareholders. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 16:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 9,600 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-17-000570 · form.xml · derivative · entry 4 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,400 Underlying: Common Stock · 9,600 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 |
| February 10, 2017 Filed Feb 13, 2017 16:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 9,600 | $151.31 | $1,452,575.04 |
DisclosureSEC source: 0001246360-17-000570 · form.xml · nonDerivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,873 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $151.1200 to $151.4300. 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 2,940 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 16:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 9,600 | $69.57 | $667,872.00 |
DisclosureSEC source: 0001246360-17-000570 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,473 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 16:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee Stock Option (Right to Buy) · Derivative | 14,700 | $0.00 Strike: $136.40 | $0.00 |
DisclosureSEC source: 0001246360-16-007369 · form.xml · derivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,700 Underlying: Common Stock · 14,700 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 16:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 910 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007369 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,873 F2 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F3 · ownership.direct: Includes 2,940 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 21:14 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 592 | $135.95 | $80,483.94 |
DisclosureSEC source: 0001246360-16-007318 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,963 F3 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/25/2016 to cover taxes due on restricted stock and performance shares that vested on 12/4/2016. F4 · price: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $135.9475 to $135.965. 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. F2 · balance_after: Amended to include 2,200 shares that were omitted from the total amount beneficially owned as last reported for this person due to an administrative error. F5 · 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 15:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 592 | $135.95 | $80,483.94 |
DisclosureSEC source: 0001246360-16-007310 · form.xml · nonDerivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,763 F6 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/25/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016. F7 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $135.9475 to $135.965. 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. F8 · 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 21:14 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007318 · form.xml · nonDerivative · entry 1 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,555 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 · shares: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). F2 · balance_after: Amended to include 2,200 shares that were omitted from the total amount beneficially owned as last reported for this person due to an administrative error. Read SEC document |
| December 04, 2016 Filed Dec 6, 2016 15:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007310 · form.xml · derivative · entry 5 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 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 15:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007310 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,355 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 15, 2016 Filed Nov 16, 2016 02:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-16-007178 · form.xml · derivative · entry 6 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 7,000 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 15, 2016 Filed Nov 16, 2016 02:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,200 | $0.00 Strike: $47.10 | $0.00 |
DisclosureSEC source: 0001246360-16-007178 · form.xml · derivative · entry 5 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,200 shares Expires 2019-12-21 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 15, 2016 Filed Nov 16, 2016 02:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 9,200 | $131.95 | $1,213,933.56 |
DisclosureSEC source: 0001246360-16-007178 · form.xml · nonDerivative · entry 4 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,095 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $131.675 to $132.23. 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 15, 2016 Filed Nov 16, 2016 02:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 7,000 | $69.57 | $486,990.00 |
DisclosureSEC source: 0001246360-16-007178 · form.xml · nonDerivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,295 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 15, 2016 Filed Nov 16, 2016 02:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,200 | $47.10 | $103,620.00 |
DisclosureSEC source: 0001246360-16-007178 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,200 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 15, 2016 Filed Dec 6, 2016 21:14 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 9,200 | $131.95 | $1,213,933.56 |
DisclosureSEC source: 0001246360-16-007317 · form.xml · nonDerivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,295 F1 · price: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $131.675 to 132.23. 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. F2 · balance_after: Includes 2,200 shares that were originally reported as a separate transaction and inadvertently omitted from the total amount of shares beneficially owned following the reported transactions. 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 15, 2016 Filed Dec 6, 2016 21:14 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 7,000 | $69.57 | $486,990.00 |
DisclosureSEC source: 0001246360-16-007317 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,495 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 15, 2016 Filed Dec 6, 2016 21:14 UTC Amendment | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,200 | $47.10 | $103,620.00 |
DisclosureSEC source: 0001246360-16-007317 · form.xml · nonDerivative · entry 1 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,495 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 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,700 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-16-007125 · form.xml · derivative · entry 5 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,700 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. Read SEC document |
| November 09, 2016 Filed Nov 11, 2016 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 800 | $126.30 | $101,043.04 |
DisclosureSEC source: 0001246360-16-007125 · form.xml · nonDerivative · entry 4 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,295 F3 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $126.0100 to $126.6800. 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 · 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 09, 2016 Filed Nov 11, 2016 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 12,900 | $125.39 | $1,617,519.39 |
DisclosureSEC source: 0001246360-16-007125 · form.xml · nonDerivative · entry 3 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,095 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $125.0000 to $125.9900. 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 |
| November 09, 2016 Filed Nov 11, 2016 01:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 13,700 | $46.16 | $632,392.00 |
DisclosureSEC source: 0001246360-16-007125 · form.xml · nonDerivative · entry 2 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,995 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 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 260 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006935 · form.xml · derivative · entry 1 Chand Sujeet · CIK 0001388884 · Sr VP & Chief Tech. Officer 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.