JOSEPH D SWANN

CIK 1204916 · Sr. Vice President · last filed 2012-08-01

JOSEPH D SWANN is a Sr. Vice President who has filed 8 SEC Form 4 insider transactions across 2 companies since 2007. The most recent filing, for KEM, was dated Aug 1, 2012. Current disclosed insider exposure totals $20.4M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

$20.40M

Companies

2

Total Filings

8

Lifetime Open-Market Net

$0

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
KEMET CORP (KEM) Delisted	Director	57,429	$27.58	$1.58M	$0	2	2012-08-01
ROK	Sr. Vice President	42,786	$476.82	$20.40M	$0	1	2007-05-14

Recent Filings

8 filings

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.

Filed	Symbol	Action	Net Shares	Net $	Link
2012-08-01	KEMET CORP (KEM) Delisted	Grant (A)	+6,667	$0	EDGAR
2011-11-02	KEMET CORP (KEM) Delisted	Grant (A)	+6,667	$0	EDGAR
2010-09-24	—	Grant (A)	+20,000	$0
2010-06-01	—	Grant (A)	+2,500	$0
2009-12-01	—	Buy (P)	+100,000	$136.4K
2008-11-12	—	Grant (A)	+2,500	$0
2007-07-26	—	Grant (A)	+2,500	$0
2007-05-14	ROK	—	—	$0	EDGAR

Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.