Joseph D Swann

CIK 1204916 · View on SEC EDGAR ↗

Insider

First SEC filing: Feb. 7, 2006 · Latest: Feb. 7, 2006

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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.
Compensation Executive pay disclosed in company proxy statements.

Insider at

ROK selling Jan. 30, 2006

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 34 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

34 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Feb. 3, 2006	ROK	G	4,625	—	—	39,970 Direct	-10.37%	Disposed	(price as of 2026-08-20)
Jan. 30, 2006	ROK	M	94,689	$11.60	$1,098,392	135,217 Direct	+233.64%	Acquired	3645.9% (price as of 2026-08-20)
Jan. 30, 2006	ROK	M	82,600	$13.40	$1,106,840	217,817 Direct	+61.09%	Acquired	3142.7% (price as of 2026-08-20)
Jan. 30, 2006	ROK	M	2,134	$15.50	$33,077	219,951 Direct	+0.98%	Acquired	2703.4% (price as of 2026-08-20)
Jan. 30, 2006	ROK	M	1,200	$27.75	$33,300	221,151 Direct	+0.55%	Acquired	1465.9% (price as of 2026-08-20)
Jan. 30, 2006	ROK	M	733	$43.90	$32,179	221,884 Direct	+0.33%	Acquired	889.8% (price as of 2026-08-20)
Jan. 30, 2006	ROK	S	177,289	—	—	44,595 Direct	-79.90%	Disposed	(price as of 2026-08-20)
Jan. 30, 2006	ROK	M	94,689	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Jan. 30, 2006	ROK	M	82,600	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Jan. 30, 2006	ROK	M	2,134	—	—	83,600 Direct	-2.49%	Disposed	(price as of 2026-08-20)
Jan. 30, 2006	ROK	M	1,200	—	—	87,600 Direct	-1.35%	Disposed	(price as of 2026-08-20)
Jan. 30, 2006	ROK	M	733	—	—	79,267 Direct	-0.92%	Disposed	(price as of 2026-08-20)
Nov. 7, 2005	ROK	A	2,800	—	—	40,528 Direct	+7.42%	Acquired	(price as of 2026-08-20)
Nov. 7, 2005	ROK	A	36,300	—	—	36,300 Direct	—	Acquired	(price as of 2026-08-20)
Feb. 25, 2005	ROK	G	3,230	—	—	37,728 Direct	-7.89%	Disposed	(price as of 2026-08-20)
Jan. 28, 2005	ROK	M	38,701	$20.35	$787,565	66,793 Direct	+137.77%	Acquired	2035.3% (price as of 2026-08-20)
Jan. 28, 2005	ROK	S	38,701	—	—	28,092 Direct	-57.94%	Disposed	(price as of 2026-08-20)
Jan. 28, 2005	ROK	M	7,400	$13.40	$99,160	35,492 Direct	+26.34%	Acquired	3142.7% (price as of 2026-08-20)
Jan. 28, 2005	ROK	M	4,266	$15.50	$66,123	39,758 Direct	+12.02%	Acquired	2703.4% (price as of 2026-08-20)
Jan. 28, 2005	ROK	M	1,200	$27.75	$33,300	40,958 Direct	+3.02%	Acquired	1465.9% (price as of 2026-08-20)
Jan. 28, 2005	ROK	M	38,701	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Jan. 28, 2005	ROK	M	7,400	—	—	82,600 Direct	-8.22%	Disposed	(price as of 2026-08-20)
Jan. 28, 2005	ROK	M	4,266	—	—	85,734 Direct	-4.74%	Disposed	(price as of 2026-08-20)
Jan. 28, 2005	ROK	M	1,200	—	—	88,800 Direct	-1.33%	Disposed	(price as of 2026-08-20)
Nov. 8, 2004	ROK	A	80,000	—	—	80,000 Direct	—	Acquired	(price as of 2026-08-20)
Oct. 6, 2003	ROK	A	90,000	—	—	90,000 Direct	—	Acquired	(price as of 2026-08-20)
Aug. 21, 2003	ROK	M	72,500	$20.35	$1,475,375	100,592 Direct	+258.08%	Acquired	2035.3% (price as of 2026-08-20)
Aug. 21, 2003	ROK	M	30,739	$11.60	$356,572	131,331 Direct	+30.56%	Acquired	3645.9% (price as of 2026-08-20)
Aug. 21, 2003	ROK	S	103,239	$27.04	$2,791,583	— Direct	—	Disposed	1507.0% (price as of 2026-08-20)
Aug. 21, 2003	ROK	M	72,500	—	—	38,701 Direct	-65.20%	Disposed	(price as of 2026-08-20)
Aug. 21, 2003	ROK	M	30,739	—	—	94,689 Direct	-24.51%	Disposed	(price as of 2026-08-20)
Aug. 20, 2003	ROK	M	116,235	$10.59	$1,230,929	121,613 Direct	+2161.31%	Acquired	4003.2% (price as of 2026-08-20)
Aug. 20, 2003	ROK	M	29,377	$11.60	$340,773	150,990 Direct	+24.16%	Acquired	3645.9% (price as of 2026-08-20)
Aug. 20, 2003	ROK	M	4,902	$20.35	$99,756	155,892 Direct	+3.25%	Acquired	2035.3% (price as of 2026-08-20)
Aug. 20, 2003	ROK	S	127,800	$27.05	$3,456,990	28,092 Direct	-81.98%	Disposed	1506.4% (price as of 2026-08-20)
Aug. 20, 2003	ROK	M	116,235	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Aug. 20, 2003	ROK	M	4,902	—	—	111,201 Direct	-4.22%	Disposed	(price as of 2026-08-20)
Aug. 20, 2003	ROK	M	29,377	—	—	125,428 Direct	-18.98%	Disposed	(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
Jan. 30, 2006	ROK	Employee Stock Option (right to buy)	Common Stock (94,689)	$11.60	Oct. 2, 2010	94,689	Disposed
Jan. 30, 2006	ROK	Employee Stock Option (right to buy)	Common Stock (82,600)	$13.40	Oct. 1, 2011	82,600	Disposed
Jan. 30, 2006	ROK	Employee Stock Option (right to buy)	Common Stock (2,134)	$15.50	Oct. 7, 2012	2,134	Disposed
Jan. 30, 2006	ROK	Employee Stock Option (right to buy)	Common Stock (1,200)	$27.75	Oct. 6, 2013	1,200	Disposed
Jan. 30, 2006	ROK	Employee Stock Option (right to buy)	Common Stock (733)	$43.90	Nov. 8, 2014	733	Disposed
Nov. 7, 2005	ROK	Employee Stock Option (right to buy)	Common Stock (36,300)	$56.36	Nov. 7, 2015	36,300	Acquired
Jan. 28, 2005	ROK	Employee Stock Option (right to buy)	Common Stock (38,701)	$20.35	Oct. 4, 2009	38,701	Disposed
Jan. 28, 2005	ROK	Employee Stock Option (right to buy)	Common Stock (7,400)	$13.40	Oct. 1, 2011	7,400	Disposed
Jan. 28, 2005	ROK	Employee Stock Option (right to buy)	Common Stock (4,266)	$15.50	Oct. 7, 2012	4,266	Disposed
Jan. 28, 2005	ROK	Employee Stock Option (right to buy)	Common Stock (1,200)	$27.75	Oct. 6, 2013	1,200	Disposed
Nov. 8, 2004	ROK	Employee Stock Option (right to buy)	Common Stock (80,000)	$43.90	Nov. 8, 2014	80,000	Acquired
Oct. 6, 2003	ROK	Employee stock option (right to buy)	Co mmon Stock (90,000)	$27.75	Oct. 6, 2013	90,000	Acquired
Aug. 21, 2003	ROK	Employee stock option (right to buy)	Common Stock (72,500)	$20.35	Oct. 4, 2009	72,500	Disposed
Aug. 21, 2003	ROK	Employee stock option (right to buy)	Common Stock (30,739)	$11.60	Oct. 2, 2010	30,739	Disposed
Aug. 20, 2003	ROK	Employee stock option (right to buy)	Common Stock (116,235)	$10.59	Oct. 5, 2008	116,235	Disposed
Aug. 20, 2003	ROK	Employee s tock option (right to buy)	Common Stock (4,902)	$20.35	Oct. 4, 2009	4,902	Disposed
Aug. 20, 2003	ROK	Employee stock option (right to buy)	Common Stock (29,377)	$11.60	Oct. 2, 2010	29,377	Disposed

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

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

ROK

Fiscal year	Salary	Bonus	Stock awards	Option awards	Non-equity incentive	Pension change	Other	Total
2007	$151,038	$6,000,000	—	—	$88,200	—	$30,361	$6,353,066

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.