SEC Form 4 · accession 0001137411-15-000119
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
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 11:27 am EST
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 StockF1,F2 | Nov 9, 2015 | A | 6,373 | $0.00 | A | 14,438 | D | |
| Common StockF2 | Nov 9, 2015 | F | 2,126 | $86.75 | D | 12,312 | D | |
| Common StockF3 | holding | — | — | — | 1,217 | 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 | $86.75 | Nov 9, 2015 | A | 28,200 | A | — | Nov 9, 2025 | Common Stock | 28,200 | 28,200 | D |
Explanation of responses
- F1Vesting of performance shares granted under the Company's Long-Term Incentives Plans ("LTIP").
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of November 4, 2015. The Form 4 that was filed on March 10, 2015 mistakenly understated the insider's ownership by 10 shares due to administrative error by the agent that has since been remedied. This total has been updated to reflect these additional shares.
- 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 November 1, 2015.
- F4Employee stock options granted under the LTIP.
- F5The options vest in three substantially equal annual installments beginning November 9, 2016.