SEC Form 4 · accession 0001137411-15-000056
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Michael King
Officer — Sr. VP, Operations
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 5:19 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 | Apr 1, 2015 | M | 2,229 | $44.85 | A | 30,524 | D | |
| Common StockF2 | Apr 1, 2015 | F | 1,040 | $96.06 | D | 29,484 | D | |
| Common StockF3 | holding | — | — | — | 6,537 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF4,F5 | $44.85 | Apr 1, 2015 | M | 2,229 | D | — | Nov 17, 2015 | Common Stock | 2,229 | 4,271 | 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 20, 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.