SEC Form 4 · accession 0001137411-15-000054

ROCKWELL COLLINS INC · COL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO & President · Director

Period of report

Apr 1, 2015

Accepted (ET)

Apr 3, 2015 · 5:17 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 Stock^F2	Apr 1, 2015	M	4,961	$44.85	A	61,258	D
Common Stock^F2	Apr 1, 2015	F	1,040	$96.06	D	60,218	D
Common Stock^F2	Apr 1, 2015	S	2,732	$96.12	D	57,486	D
Common Stock^F2	Apr 2, 2015	M	1,539	$44.85	A	59,025	D
Common Stock^F3	holding	—	—		—	4,583	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4,F5	$44.85	Apr 1, 2015	M	4,961	D	—	Nov 17, 2015	Common Stock	4,961	1,539	D
Stock Option (Right to Buy)^F4,F5	$44.85	Apr 2, 2015	M	1,539	D	—	Nov 17, 2015	Common Stock	1,539	0	D

F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 26, 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.
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 April 1, 2015.
F4Employee stock options granted pursuant to the Company's stock based plans.
F5The options are currently exercisable.