| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROK | Employee Stock Option (Right to Buy) | Options Exercise | -$98K | -900 | -100% | $108.89 | 0 | May 15, 2023 | Common Stock | 900 | $108.89 | Direct | F3 |
| transaction | ROK | Employee Stock Option (Right to Buy) | Options Exercise | -$92.6K | -800 | -100% | $115.69 | 0 | May 15, 2023 | Common Stock | 800 | $115.69 | Direct | F3 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Exercise of options pursuant to Rule 10b5-1 plan entered into on 2/23/2023. |
| F2 | 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 3/31/2023. 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. |
| F3 | The options vest in three substantially equal annual installments beginning on the date exercisable. |