Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Mirion Technologies, Inc.MIR · Entity 394 | Director | May 13, 2026 | May 14, 2026 |
| ROCKWELL AUTOMATION, INCROK · Entity 906 | Senior Vice President & CFO | December 11, 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.
Mirion Technologies, Inc.
Report date May 13, 2026 · Filed May 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 87,448 |
Reported balance
After 2026-05-13 transaction · row 1
1 source rowRow 1 · 2026-05-13 · Grant · Acquired 7,383 · Balance 87,448 F1: Represents restricted stock units that will vest on the earlier to occur of (i) first anniversary of the grant date or (ii) date of the annual stockholder meeting following the grant date, subject to the non-employee director's continued service on the Board through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units that will vest on the earlier to occur of (i) first anniversary of the grant date or (ii) date of the annual stockholder meeting following the grant date, subject to the non-employee director's continued service on the Board through such vesting date.
ROCKWELL AUTOMATION, INC
Report date December 11, 2020 · Filed December 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,959 |
Reported balance
After 2020-12-11 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-12-11 · Sale · Disposed 61 · Balance 8,959 F2: Sale of shares pursuant to Rule 10b5-1 trading plan entered into 5/1/2020 to cover taxes due on restricted stock and performance shares that vested on 12/8/2020. F3: Includes 697 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan | 671.8984 |
Reported balance
Holding disclosure · report date 2020-12-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 671.8984 F1: Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/2/2020. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares represented by Company stock fund units acquired under the Company Savings Plan based on information furnished by the Plan Administrator as of 11/2/2020.
F2: Sale of shares pursuant to Rule 10b5-1 trading plan entered into 5/1/2020 to cover taxes due on restricted stock and performance shares that vested on 12/8/2020.
F3: Includes 697 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 |
|---|---|---|---|---|---|---|
| October 30, 2019 Filed Oct 31, 2019 20:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 580 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002334 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,063 F2 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F3 · ownership.direct: Includes 1,080 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| October 01, 2019 Filed Oct 2, 2019 23:49 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 324 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-19-002175 · form.xml · derivative · entry 1 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324 Underlying: Common Stock · 324 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 |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee stock option (right to buy) · Derivative | 2,500 | $0.00 Strike: $171.46 | $0.00 |
DisclosureSEC source: 0001246360-18-002606 · form.xml · derivative · entry 7 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2028-12-04 F7 · derivative.exercise_date: The option vests in three substantially equal annual installments beginning on the date exercisable. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 645 | $175.90 | $113,452.53 |
DisclosureSEC source: 0001246360-18-002606 · form.xml · nonDerivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,483 F8 · kind: Sale of shares pursuant to Rule 10b5-1 trading plan dated 5/23/2018 to cover taxes due on restricted stock and performance shares that vested on 12/03/2018. F9 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $175.67 to $175.98. 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. F10 · ownership.direct: Includes 500 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 160 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002606 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,128 F6 · kind: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. Read SEC document |
| December 03, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 1,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002606 · form.xml · derivative · entry 6 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,700 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. 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 03, 2018 Filed Dec 6, 2018 23:07 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002606 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,968 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 01, 2018 Filed Oct 2, 2018 16:21 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 1,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-002294 · form.xml · derivative · entry 1 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,700 Underlying: Common Stock · 1,700 shares Expires 2018-12-03 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 3, 2015, 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 3, 2018, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 21:35 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: 0001246360-18-001943 · form.xml · derivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 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 |
| July 31, 2018 Filed Aug 1, 2018 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 1,400 | $187.68 | $262,752.00 |
DisclosureSEC source: 0001246360-18-001943 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,268 F2 · ownership.direct: Includes 620 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,400 | $69.57 | $97,398.00 |
DisclosureSEC source: 0001246360-18-001943 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,668 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 12, 2018 Filed Feb 13, 2018 23:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 105 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-18-000628 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,268 F2 · ownership.direct: Includes 620 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. 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 | 2,500 | $0.00 Strike: $192.86 | $0.00 |
DisclosureSEC source: 0001246360-17-003309 · form.xml · derivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 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 | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003309 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,373 F3 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F4 · ownership.direct: Includes 620 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 00:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 514 | $190.75 | $98,044.68 |
DisclosureSEC source: 0001246360-17-003187 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,223 F6 · 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. F7 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $190.69 to $190.765. 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 470 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 02, 2017 Filed Dec 5, 2017 00:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionPerformance Shares · Derivative | 1,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003187 · form.xml · derivative · entry 5 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,272 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 00:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-003187 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,737 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 02, 2017 Filed Oct 4, 2017 14:56 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 1,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-002893 · form.xml · derivative · entry 1 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,272 Underlying: Common Stock · 1,272 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 |
| August 02, 2017 Filed Aug 3, 2017 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,100 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-17-002483 · form.xml · derivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,400 Underlying: Common Stock · 2,100 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 |
| August 02, 2017 Filed Aug 3, 2017 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 2,100 | $165.43 | $347,405.10 |
DisclosureSEC source: 0001246360-17-002483 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,465 F2 · ownership.direct: Includes 660 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| August 02, 2017 Filed Aug 3, 2017 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,100 | $69.57 | $146,097.00 |
DisclosureSEC source: 0001246360-17-002483 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,565 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 15, 2017 Filed May 17, 2017 17:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $69.57 | $0.00 |
DisclosureSEC source: 0001246360-17-001889 · form.xml · derivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,000 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 |
| May 15, 2017 Filed May 17, 2017 17:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 3,000 | $158.54 | $475,634.70 |
DisclosureSEC source: 0001246360-17-001889 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,465 F2 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $158.5300 to $158.5540. 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 660 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| May 15, 2017 Filed May 17, 2017 17:14 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 3,000 | $69.57 | $208,710.00 |
DisclosureSEC source: 0001246360-17-001889 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,465 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 17, 2017 Filed Feb 17, 2017 20:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 130 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-000821 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,465 F2 · ownership.direct: Includes 660 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantEmployee Stock Option (Right to Buy) · Derivative | 3,100 | $0.00 Strike: $136.40 | $0.00 |
DisclosureSEC source: 0001246360-16-007371 · form.xml · derivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,100 Underlying: Common Stock · 3,100 shares Expires 2026-12-06 F2 · 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 16:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantCommon Stock | 190 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007371 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,595 F3 · shares: Restricted stock award under the Company's 2012 Long-Term Incentives Plan. F4 · ownership.direct: Includes 660 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 | 91 | $135.95 | $12,371.58 |
DisclosureSEC source: 0001246360-16-007311 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,405 F6 · shares: Sale of shares pursuant to Rule 10b5-1 trading plan dated 05/24/2016 to cover taxes due on restricted stock and performance shares that vested on 12/04/2016. F7 · ownership.direct: Includes 470 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 | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007311 · form.xml · derivative · entry 5 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56 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 | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007311 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,496 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 18, 2016 Filed Nov 18, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GiftCommon Stock | 46 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-007195 · form.xml · nonDerivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,440 F2 · ownership.direct: Includes 670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,100 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-16-007195 · form.xml · derivative · entry 5 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,100 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 16, 2016 Filed Nov 18, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 2,100 | $132.98 | $279,268.08 |
DisclosureSEC source: 0001246360-16-007195 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,486 Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 18:28 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,100 | $46.16 | $96,936.00 |
DisclosureSEC source: 0001246360-16-007195 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,586 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 21, 2016 Filed Oct 24, 2016 13:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,000 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-16-006992 · form.xml · derivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100 Underlying: Common Stock · 2,000 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. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 13:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 2,000 | $125.46 | $250,923.80 |
DisclosureSEC source: 0001246360-16-006992 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,486 F2 · kind: Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on May 24, 2016. F3 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $125.31 to $125.745. 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 670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 13:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 2,000 | $46.16 | $92,320.00 |
DisclosureSEC source: 0001246360-16-006992 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,486 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 4, 2016 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | GrantPerformance Shares · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006918 · form.xml · derivative · entry 7 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56 Underlying: Common Stock · 56 shares Expires 2016-12-04 F7 · derivative.exercise_price: Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). F8 · 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. F9 · 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 |
| September 30, 2016 Filed Oct 4, 2016 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,800 | $0.00 Strike: $46.16 | $0.00 |
DisclosureSEC source: 0001246360-16-006918 · form.xml · derivative · entry 6 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,100 Underlying: Common Stock · 1,800 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 |
| September 30, 2016 Filed Oct 4, 2016 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 300 | $122.76 | $36,828.09 |
DisclosureSEC source: 0001246360-16-006918 · form.xml · nonDerivative · entry 5 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,486 F2 · kind: Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on May 24, 2016. F5 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $122.68 to $122.85. 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. F6 · ownership.direct: Includes 670 shares held by the Company to implement restrictions on transfer unless and until certain conditions are met. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 800 | $122.02 | $97,613.04 |
DisclosureSEC source: 0001246360-16-006918 · form.xml · nonDerivative · entry 4 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,786 F2 · kind: Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on May 24, 2016. F4 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $121.55 to $122.49. 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 |
| September 30, 2016 Filed Oct 4, 2016 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | SaleCommon Stock | 700 | $120.47 | $84,326.48 |
DisclosureSEC source: 0001246360-16-006918 · form.xml · nonDerivative · entry 3 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,586 F2 · kind: Shares exercised and sold pursuant to a Rule 10b5-1 trading plan entered into on May 24, 2016. F3 · shares: Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $120.02 to $120.90. 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 |
| September 30, 2016 Filed Oct 4, 2016 21:35 UTC | ROCKWELL AUTOMATION, INC ROK · Entity 906 | Exercise / conversionCommon Stock | 1,800 | $46.16 | $83,088.00 |
DisclosureSEC source: 0001246360-16-006918 · form.xml · nonDerivative · entry 2 Etzel Steven W. · CIK 0001417866 · VP and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,286 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.