| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ROK | Common Stock | Options Exercise | $2,778,936 | +26,700 | +34% | $104.08 | 104,815 | 25 Nov 2024 | By Family Trust | F1 |
| transaction | ROK | Common Stock | Sale | $384,110 | -1,300 | -1.2% | $295.47 | 103,515 | 25 Nov 2024 | By Family Trust | F1, F2, F3 |
| transaction | ROK | Common Stock | Sale | $340,879 | -1,150 | -1.1% | $296.42 | 102,365 | 25 Nov 2024 | By Family Trust | F1, F2, F4 |
| transaction | ROK | Common Stock | Sale | $3,584,265 | -12,032 | -12% | $297.89 | 90,333 | 25 Nov 2024 | By Family Trust | F1, F2, F5 |
| transaction | ROK | Common Stock | Sale | $834,879 | -2,796 | -3.1% | $298.60 | 87,537 | 25 Nov 2024 | By Family Trust | F1, F2, F6 |
| transaction | ROK | Common Stock | Sale | $1,113,702 | -3,715 | -4.2% | $299.79 | 83,822 | 25 Nov 2024 | By Family Trust | F1, F2, F7 |
| transaction | ROK | Common Stock | Sale | $1,715,554 | -5,707 | -6.8% | $300.61 | 78,115 | 25 Nov 2024 | By Family Trust | F1, F2, F8 |
| holding | ROK | Common Stock | 166 | 25 Nov 2024 | By Savings Plan | F9 |
| 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 | $2,778,936 | -26,700 | -100% | $104.08 | 0 | 25 Nov 2024 | Common Stock | 26,700 | $104.08 | Direct |
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 | Prior filings erroneously reflected common stock holdings as direct holdings when they have been indirectly held in a family trust account since the account in which they were held was converted from a personal account to a family trust account in 2020. |
| F2 | Option exercise and sale of option shares pursuant to a Rule 10b5-1 trading plan entered into on 8/26/2024. |
| F3 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $295.0050 to $295.98. 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. |
| F4 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $296.06 to $296.86 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 $297.19 to $298.1450. 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 $298.22 to $299.14. 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 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $299.22 to $300.18. 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 | Price reported in column 4 is a weighted average price. Shares sold at prices ranging from $300.2350 to $301.07. 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. |
| F9 | 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 11/1/2024. 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. |