SEC Form 4 · accession 0001137411-15-000120

ROCKWELL COLLINS INC · COL

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

Reporting owner

Officer — Sr. VP, Operations

Period of report

Nov 9, 2015

Accepted (ET)

Nov 12, 2015 · 11:28 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 Stock^F2	Nov 9, 2015	M	4,271	$44.85	A	33,859	D
Common Stock^F2	Nov 9, 2015	S	4,271	$87.53	D	29,588	D
Common Stock^F3,F2	Nov 9, 2015	A	2,833	$0.00	A	32,421	D
Common Stock^F2	Nov 9, 2015	F	945	$86.75	D	31,476	D
Common Stock^F4	holding	—	—		—	6,673	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock^F5,F6	$44.85	Nov 9, 2015	M	4,271	D	—	Nov 17, 2015	Common Stock	4,271	0	D
Stock Option (Right to Buy)^F7,F8	$86.75	Nov 9, 2015	A	11,300	A	—	Nov 9, 2025	Common Stock	11,300	11,300	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 20, 2015.
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.
F3Vesting of performance shares granted under the Company's Long-Term Incentives Plan ("LTIP").
F4Shares 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.
F5Employee stock options granted pursuant to the Company's stock based plans.
F6The options are currently exercisable.
F7Employee stock options granted under the LTIP.
F8The options vest in three substantially equal annual installments beginning November 9, 2016.