SEC Form 4 · accession 0001137411-15-000052
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip J Jasper
Officer — Exec. VP & COO, Government Sys
Period of report
Mar 6, 2015
Accepted (ET)
Mar 10, 2015 · 12:06 pm EDT
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 StockF2 | Mar 6, 2015 | M | 1,460 | $44.85 | A | 7,714 | D | |
| Common StockF2 | Mar 6, 2015 | M | 490 | $52.20 | A | 8,204 | D | |
| Common StockF2 | Mar 6, 2015 | M | 1,570 | $57.92 | A | 9,774 | D | |
| Common StockF2 | Mar 6, 2015 | M | 2,500 | $66.57 | A | 12,274 | D | |
| Common StockF2 | Mar 6, 2015 | F | 4,423 | $91.12 | D | 7,851 | D | |
| Common StockF3 | holding | — | — | — | 1,104 | I | By Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4,F5 | $44.85 | Mar 6, 2015 | M | 1,460 | D | — | Nov 17, 2015 | Common Stock | 1,460 | 0 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $57.92 | Mar 6, 2015 | M | 1,570 | D | — | Nov 9, 2016 | Common Stock | 1,570 | 0 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $52.20 | Mar 6, 2015 | M | 490 | D | — | Mar 8, 2016 | Common Stock | 490 | 0 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $66.57 | Mar 6, 2015 | M | 2,500 | D | — | Apr 23, 2017 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2015.
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of March 3, 2015. Includes shares acquired under a dividend reinvestment plan.
- F3Shares represented by Company stock fund units under the Company's tax-qualified savings plan, including shares acquired on a periodic basis pursuant to the Plan, based on information furnished by the Plan Administrator as of March 2, 2015.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.