SEC Form 4 · accession 0001137411-15-000079
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tatum J. Buse
Officer — VP, Finance and Controller
Period of report
Jun 11, 2015
Accepted (ET)
Jun 12, 2015 · 1:07 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 | Jun 11, 2015 | S | 1,588 | $95.00 | D | 488 | D | |
| Common Stock | Jun 11, 2015 | M | 1,960 | $53.08 | A | 2,448 | D | |
| Common Stock | Jun 11, 2015 | S | 500 | $95.00 | D | 1,948 | D | |
| Common Stock | Jun 11, 2015 | S | 1,460 | $95.009 | D | 488 | D | |
| Common StockF2 | holding | — | — | — | 487 | 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 Options (Right to Buy)F3,F4 | $53.08 | Jun 11, 2015 | M | 1,960 | D | — | Nov 20, 2019 | Common Stock | 1,960 | 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 May 7, 2015.
- F2Shares 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 June 1, 2015.
- F3Employee stock options granted pursuant to the Company's stock based plans.
- F4The options are currently exercisable.