SEC Form 4 · accession 0001137411-15-000030
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris A Davis
Director
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 1:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001137411
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 29, 2015 | M | 5,000 | $46.11 | A | 17,386 | D | |
| Common StockF1 | Jan 29, 2015 | S | 2,685 | $86.27 | D | 14,701 | D | |
| Common StockF2 | holding | — | — | — | 35,256 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director's Stock Option (Right to Buy)F3,F4 | $46.11 | Jan 29, 2015 | M | 5,000 | D | — | Feb 15, 2015 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F16,413 of these shares are restricted shares and were delivered as compensation for services as a Director. The restricted shares are held by the issuer to implement restrictions on transfer unless and until certain conditions are met. Includes shares acquired under our dividend reinvestment plan.
- F2Restricted stock units awarded in lieu of cash director fees pursuant to the Company's 2006 Long-Term Incentives Plan. Shares of common stock underlying restricted stock units will be issued promptly after departure from the Board of Directors.
- F3Director stock options granted pursuant to the Company's stock based plans.
- F4The options are currently exercisable.