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Signature
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Danielle White, Attorney-in-fact for Brian A. Shepherd
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Stock symbol
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ROK
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Transactions as of
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Dec 7, 2023
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Transactions value $
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-$141,682
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Form type
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4
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Date filed
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12/11/2023, 09:02 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
ROK |
Common Stock |
Options Exercise |
$0 |
+428 |
+13.85% |
$0.00 |
3.52K |
Dec 7, 2023 |
Direct |
|
transaction |
ROK |
Common Stock |
Sale |
-$53.9K |
-193 |
-5.48% |
$279.04 |
3.33K |
Dec 8, 2023 |
Direct |
F1, F2 |
transaction |
ROK |
Common Stock |
Sale |
-$280 |
-1 |
-0.03% |
$279.62 |
3.33K |
Dec 8, 2023 |
Direct |
F1 |
transaction |
ROK |
Common Stock |
Options Exercise |
$0 |
+693 |
+20.84% |
$0.00 |
4.02K |
Dec 9, 2023 |
Direct |
|
transaction |
ROK |
Common Stock |
Sale |
-$76.3K |
-273 |
-6.79% |
$279.64 |
3.75K |
Dec 11, 2023 |
Direct |
F3, F4 |
transaction |
ROK |
Common Stock |
Sale |
-$11.2K |
-40 |
-1.07% |
$280.16 |
3.71K |
Dec 11, 2023 |
Direct |
F3, F5 |
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 |
-428 |
-50% |
$0.00 |
428 |
Dec 7, 2023 |
Common Stock |
428 |
|
Direct |
F6, F7 |
transaction |
ROK |
Restricted Stock Units |
Options Exercise |
$0 |
-693 |
-33.33% |
$0.00 |
1.39K |
Dec 9, 2023 |
Common Stock |
693 |
|
Direct |
F6, F7 |
* 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: