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Signature
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Danielle White, attorney-in-fact for Veena M. Lakkundi
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Stock symbol
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ROK
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Transactions as of
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Nov 1, 2023
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Transactions value $
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-$153,513
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Form type
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4
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Date filed
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11/2/2023, 05:55 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
ROK |
Common Stock |
Options Exercise |
$0 |
+1.88K |
+122.94% |
$0.00 |
3.4K |
Nov 1, 2023 |
Direct |
|
| transaction |
ROK |
Common Stock |
Sale |
-$154K |
-597 |
-17.55% |
$257.14 |
2.81K |
Nov 2, 2023 |
Direct |
F1, F2 |
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Underlying Class |
Amount |
Exercise Price |
Ownership |
Footnotes |
| transaction |
ROK |
Restricted Stock Units |
Options Exercise |
$0 |
-1.88K |
-50% |
$0.00 |
1.88K |
Nov 1, 2023 |
Common Stock |
1.88K |
|
Direct |
F3, F4 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
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).
Explanation of Responses: