SEC Form 4 · accession 0001137411-15-000061
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nan Mattai
Officer — Sr VP, Engineering and Tech
Period of report
Apr 6, 2015
Accepted (ET)
Apr 7, 2015 · 5:35 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 | Apr 6, 2015 | M | 8,100 | $57.92 | A | 12,810 | D | |
| Common Stock | Apr 6, 2015 | S | 8,100 | $95.24 | D | 4,710 | D | |
| Common StockF2 | holding | — | — | — | 710 | I | By IRA | |
| Common StockF3 | holding | — | — | — | 5,654 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4,F5 | $57.92 | Apr 6, 2015 | M | 8,100 | D | — | Nov 9, 2016 | Common Stock | 8,100 | 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 24, 2015.
- F2Shares rolled over into a self-directed IRA.
- 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.