| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROK | Common Stock | Sale | -$28.4K | -100 | -1.43% | $283.66 | 6.89K | Oct 2, 2023 | Direct | F1, F2 |
| transaction | ROK | Common Stock | Sale | -$39.8K | -140 | -2.03% | $284.13 | 6.75K | Oct 2, 2023 | Direct | F1, F3 |
| transaction | ROK | Common Stock | Sale | -$17.1K | -60 | -0.89% | $285.58 | 6.69K | Oct 2, 2023 | Direct | F1, F4 |
| transaction | ROK | Common Stock | Sale | -$11.5K | -40 | -0.6% | $286.59 | 6.65K | Oct 2, 2023 | Direct | F1, F5 |
| transaction | ROK | Common Stock | Sale | -$23K | -80 | -1.2% | $287.47 | 6.57K | Oct 2, 2023 | Direct | F1, F6 |
| transaction | ROK | Common Stock | Sale | -$5.77K | -20 | -0.3% | $288.70 | 6.55K | Oct 2, 2023 | Direct | F1 |
| holding | ROK | Common Stock | 49.4 | Oct 2, 2023 | By savings plan | F7 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROK | Performance Shares | Award | $0 | +1.49K | $0.00 | 1.49K | Oct 2, 2023 | Common Stock | 1.49K | Direct | F8, F9, F10 |
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 | Sale of shares pursuant to a 10b5-1 trading plan entered into on 11/29/2022 to cover taxes due on restricted stock that vested on 10/1/2023. |
| F2 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $282.92 to $283.905. 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 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $283.96 to $284.35. 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 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $285.25 to $286.10. 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 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $286.33 to $286.855. 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 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $287.4075 to $287.61. 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. |
| F7 | 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 9/29/2023. 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. |
| F8 | Each performance share represents a contingent right to receive one share of Company common stock (or the cash equivalent). |
| F9 | On December 10, 2020, 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. |
| F10 | 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 10, 2023, provided the reporting person is still an employee of the Company on that date, subject to limited exceptions. |