SEC Form 4 · accession 0001137411-15-000124
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Perna
Officer — Sr. VP, Gnrl Counsel & Secy
Period of report
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 11:30 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 | holding | — | — | — | 237 | 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)F2,F3 | $86.75 | Nov 9, 2015 | A | 17,600 | A | — | Nov 9, 2025 | Common Stock | 17,600 | 17,600 | D |
Explanation of responses
- F1Shares 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.
- F2Employee stock options granted under the Company's Long-Term Incentives Plan ("LTIP").
- F3The options vest in three substantially equal annual installments beginning November 9, 2016.