Ernest Nicolas

Insider

First SEC filing: Nov. 4, 2019 · Latest: Nov. 4, 2019

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 55 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

55 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
June 30, 2026	AVNT	A	1,049	—	—	26,907 Indirect	+4.06%	Acquired	(price as of 2026-08-20)
March 31, 2026	AVNT	A	1,072	—	—	25,663 Indirect	+4.36%	Acquired	(price as of 2026-08-20)
Dec. 31, 2025	AVNT	A	1,239	—	—	24,393 Indirect	+5.35%	Acquired	(price as of 2026-08-20)
Sept. 30, 2025	AVNT	A	1,192	—	—	22,971 Indirect	+5.47%	Acquired	(price as of 2026-08-20)
June 30, 2025	AVNT	A	1,187	—	—	21,620 Indirect	+5.81%	Acquired	(price as of 2026-08-20)
March 31, 2025	AVNT	A	1,055	—	—	20,263 Indirect	+5.49%	Acquired	(price as of 2026-08-20)
Dec. 31, 2024	AVNT	A	955	—	—	19,081 Indirect	+5.27%	Acquired	(price as of 2026-08-20)
Sept. 30, 2024	AVNT	A	775	—	—	18,035 Indirect	+4.49%	Acquired	(price as of 2026-08-20)
June 28, 2024	AVNT	A	806	—	—	17,160 Indirect	+4.93%	Acquired	(price as of 2026-08-20)
March 29, 2024	AVNT	A	808	—	—	16,260 Indirect	+5.23%	Acquired	(price as of 2026-08-20)
Dec. 29, 2023	AVNT	A	655	$41.99	$27,503	15,359 Indirect	+4.45%	Acquired	3.8% (price as of 2026-08-20)
Dec. 29, 2023	AVNT	A	834	—	—	14,704 Indirect	+6.01%	Acquired	(price as of 2026-08-20)
Sept. 29, 2023	AVNT	A	773	$35.56	$27,488	13,781 Indirect	+5.94%	Acquired	22.6% (price as of 2026-08-20)
Sept. 29, 2023	AVNT	A	984	—	—	13,008 Indirect	+8.18%	Acquired	(price as of 2026-08-20)
June 30, 2023	AVNT	A	702	$40.58	$28,487	11,960 Indirect	+6.24%	Acquired	7.4% (price as of 2026-08-20)
June 30, 2023	AVNT	A	863	—	—	11,258 Indirect	+8.30%	Acquired	(price as of 2026-08-20)
March 31, 2023	AVNT	A	673	$40.85	$27,492	10,340 Indirect	+6.96%	Acquired	6.7% (price as of 2026-08-20)
March 31, 2023	AVNT	A	857	—	—	9,667 Indirect	+9.73%	Acquired	(price as of 2026-08-20)
Dec. 31, 2022	AVNT	A	818	$33.66	$27,534	8,765 Indirect	+10.29%	Acquired	29.5% (price as of 2026-08-20)
Dec. 31, 2022	AVNT	A	1,040	—	—	7,947 Indirect	+15.06%	Acquired	(price as of 2026-08-20)
Sept. 30, 2022	AVNT	A	895	$30.72	$27,494	6,872 Indirect	+14.97%	Acquired	41.9% (price as of 2026-08-20)
Sept. 30, 2022	AVNT	A	1,139	—	—	5,977 Indirect	+23.54%	Acquired	(price as of 2026-08-20)
June 30, 2022	AVNT	A	716	$39.80	$28,497	4,818 Indirect	+17.45%	Acquired	9.5% (price as of 2026-08-20)
June 30, 2022	AVNT	A	880	—	—	4,102 Indirect	+27.31%	Acquired	(price as of 2026-08-20)
March 31, 2022	AVNT	A	563	$48.83	$27,491	3,212 Indirect	+21.25%	Acquired	-10.7% (price as of 2026-08-20)
March 31, 2022	AVNT	A	717	—	—	2,649 Indirect	+37.11%	Acquired	(price as of 2026-08-20)
Dec. 31, 2021	AVNT	A	493	$55.86	$27,539	1,929 Indirect	+34.33%	Acquired	-21.9% (price as of 2026-08-20)
Dec. 31, 2021	AVNT	A	627	—	—	1,436 Indirect	+77.50%	Acquired	(price as of 2026-08-20)
Dec. 15, 2021	ROK	S 10b5-1	69	$344.34	$23,759	4,872 Direct	-1.40%	Disposed	26.2% (price as of 2026-08-20)
Dec. 13, 2021	ROK	S 10b5-1	96	$349.62	$33,564	4,942 Direct	-1.91%	Disposed	24.3% (price as of 2026-08-20)
Dec. 10, 2021	ROK	M	203	—	—	407 Direct	-33.28%	Disposed	(price as of 2026-08-20)
Dec. 10, 2021	ROK	M	203	—	—	5,038 Direct	+4.20%	Acquired	(price as of 2026-08-20)
Dec. 7, 2021	ROK	A	856	—	—	856 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 7, 2021	ROK	A	3,422	—	—	3,422 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 6, 2021	ROK	S 10b5-1	59	$345.31	$20,373	4,834 Direct	-1.21%	Disposed	25.8% (price as of 2026-08-20)
Dec. 6, 2021	ROK	S 10b5-1	48	$343.46	$16,486	4,894 Direct	-0.97%	Disposed	26.5% (price as of 2026-08-20)
Dec. 6, 2021	ROK	S 10b5-1	61	$342.51	$20,893	4,942 Direct	-1.22%	Disposed	26.9% (price as of 2026-08-20)
Dec. 6, 2021	ROK	S 10b5-1	156	$341.70	$53,305	5,002 Direct	-3.02%	Disposed	27.2% (price as of 2026-08-20)
Dec. 4, 2021	ROK	M	548	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 4, 2021	ROK	M	548	—	—	5,158 Direct	+11.89%	Acquired	(price as of 2026-08-20)
Nov. 2, 2021	ROK	S 10b5-1	414	$341.57	$141,410	4,610 Direct	-8.24%	Disposed	27.2% (price as of 2026-08-20)
Oct. 1, 2021	ROK	A	548	—	—	548 Direct	—	Acquired	(price as of 2026-08-20)
Sept. 30, 2021	AVNT	A	356	$47.03	$16,743	809 Indirect	+78.59%	Acquired	-7.3% (price as of 2026-08-20)
Sept. 30, 2021	AVNT	A	453	—	—	453 Indirect	—	Acquired	(price as of 2026-08-20)
July 7, 2021	ROK	M	2,300	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
July 7, 2021	ROK	S 10b5-1	2,300	$290.00	$667,000	5,024 Direct	-31.40%	Disposed	49.8% (price as of 2026-08-20)
July 7, 2021	ROK	M 10b5-1	2,300	$136.40	$313,720	7,324 Direct	+45.78%	Acquired	218.6% (price as of 2026-08-20)
June 11, 2021	ROK	M	1,800	$104.08	$187,344	6,824 Direct	+35.83%	Acquired	317.5% (price as of 2026-08-20)
June 11, 2021	ROK	S 10b5-1	1,800	$283.08	$509,544	5,024 Direct	-26.38%	Disposed	53.5% (price as of 2026-08-20)
June 11, 2021	ROK	M	1,800	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
June 8, 2021	ROK	S 10b5-1	319	$276.29	$88,137	5,024 Direct	-5.97%	Disposed	57.3% (price as of 2026-08-20)
June 4, 2021	ROK	M	95	$115.69	$10,991	5,438 Direct	+1.78%	Acquired	275.6% (price as of 2026-08-20)
June 4, 2021	ROK	S 10b5-1	95	$275.72	$26,193	5,344 Direct	-1.75%	Disposed	57.6% (price as of 2026-08-20)
June 4, 2021	ROK	M	95	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
June 3, 2021	ROK	M	239	$115.69	$27,650	5,582 Direct	+4.47%	Acquired	275.6% (price as of 2026-08-20)
June 3, 2021	ROK	S 10b5-1	239	$275.00	$65,725	5,344 Direct	-4.28%	Disposed	58.0% (price as of 2026-08-20)
June 3, 2021	ROK	M	239	—	—	95 Direct	-71.56%	Disposed	(price as of 2026-08-20)
Dec. 10, 2020	ROK	A	610	—	—	610 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 10, 2020	ROK	A	2,750	—	—	2,750 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 9, 2020	ROK	S 10b5-1	94	$249.75	$23,476	5,374 Direct	-1.72%	Disposed	74.0% (price as of 2026-08-20)
Dec. 9, 2020	ROK	S 10b5-1	30	$250.96	$7,529	5,344 Direct	-0.56%	Disposed	73.1% (price as of 2026-08-20)
Dec. 8, 2020	ROK	M	261	—	—	5,468 Direct	+5.01%	Acquired	(price as of 2026-08-20)
Dec. 8, 2020	ROK	M	261	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Nov. 2, 2020	ROK	S 10b5-1	291	$245.82	$71,534	5,206 Direct	-5.29%	Disposed	76.8% (price as of 2026-08-20)
Oct. 1, 2020	ROK	A	261	—	—	261 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 9, 2019	ROK	S 10b5-1	121	$199.02	$24,081	5,498 Direct	-2.15%	Disposed	118.3% (price as of 2026-08-20)
Dec. 6, 2019	ROK	M	239	—	—	5,618 Direct	+4.44%	Acquired	(price as of 2026-08-20)
Dec. 6, 2019	ROK	M	239	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 5, 2019	ROK	A	270	—	—	5,380 Direct	+5.28%	Acquired	(price as of 2026-08-20)
Dec. 5, 2019	ROK	A	4,400	—	—	4,400 Direct	—	Acquired	(price as of 2026-08-20)
Nov. 1, 2019	ROK	A	2,820	—	—	5,110 Direct	+123.14%	Acquired	(price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Dec. 10, 2021	ROK	Restricted Stock Units	Common Stock (203)	—	Dec. 10, 2023	203	Disposed
Dec. 7, 2021	ROK	Restricted Stock Units	Common Stock (856)	—	Dec. 7, 2024	856	Acquired
Dec. 7, 2021	ROK	Employee Stock Option (Right to Buy)	Common Stock (3,422)	$350.76	Dec. 7, 2031	3,422	Acquired
Dec. 4, 2021	ROK	Performance Shares	Common Stock (548)	—	Dec. 4, 2021	548	Disposed
Oct. 1, 2021	ROK	Performance Shares	Common Stock (548)	—	Dec. 4, 2021	548	Acquired
July 7, 2021	ROK	Employee Stock Option (Right to Buy)	Common Stock (2,300)	$136.40	Dec. 6, 2026	2,300	Disposed
June 11, 2021	ROK	Employee stock option (right to buy)	Common Stock (1,800)	$104.08	Dec. 3, 2025	1,800	Disposed
June 4, 2021	ROK	Employee Stock Option (Right to Buy)	Common Stock (95)	$115.69	Dec. 2, 2024	95	Disposed
June 3, 2021	ROK	Employee Stock Option (Right to Buy)	Common Stock (239)	$115.69	Dec. 2, 2024	239	Disposed
Dec. 10, 2020	ROK	Restricted stock units	Common Stock (610)	—	Dec. 10, 2023	610	Acquired
Dec. 10, 2020	ROK	Employee stock option (right to buy)	Common Stock (2,750)	$246.77	Dec. 10, 2030	2,750	Acquired
Dec. 8, 2020	ROK	Performance Shares	Common Stock (261)	—	Dec. 8, 2020	261	Disposed
Oct. 1, 2020	ROK	Performance Shares	Common Stock (261)	—	Dec. 8, 2020	261	Acquired
Dec. 6, 2019	ROK	Performance Shares	Common Stock (239)	—	Dec. 6, 2019	239	Disposed
Dec. 5, 2019	ROK	Employee stock option (right to buy)	Common Stock (4,400)	$196.43	Dec. 5, 2029	4,400	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 10 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Nov. 4, 2019	ROK	Common Stock	2,289	Direct
Nov. 4, 2019	ROK	Common Stock	37	Indirect
Nov. 4, 2019	ROK	Common Stock	436	Indirect
Nov. 4, 2019	ROK	Employee stock option (right to buy)→ Common Stock (2,000)	2,000	Direct
Nov. 4, 2019	ROK	Performance Shares→ Common Stock (239)	239	Direct
Nov. 4, 2019	ROK	Employee Stock Option (Right to Buy)→ Common Stock (334)	334	Direct
Nov. 4, 2019	ROK	Employee stock option (right to buy)→ Common Stock (1,800)	1,800	Direct
Nov. 4, 2019	ROK	Employee Stock Option (Right to Buy)→ Common Stock (2,300)	2,300	Direct
Nov. 4, 2019	ROK	Employee Stock Option (right to buy)→ Common Stock (2,000)	2,000	Direct
Nov. 4, 2019	ROK	Common Stock Share Equivalents→ Common Stock (48)	48	Direct