SEC Form 4 · accession 0001137411-16-000142
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
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 12:56 pm 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 StockF2 | Jan 4, 2016 | M | 1,350 | $74.05 | A | 13,719 | D | |
| Common StockF2 | Jan 4, 2016 | F | 1,102 | $90.64 | D | 12,617 | D | |
| Common StockF2 | Jan 4, 2016 | M | 2,243 | $74.05 | A | 14,860 | D | |
| Common StockF2 | Jan 4, 2016 | S | 2,243 | $90.60 | D | 12,617 | D | |
| Common StockF2 | Jan 5, 2016 | M | 307 | $74.05 | A | 12,924 | D | |
| Common StockF3 | holding | — | — | — | 1,216 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4,F5 | $74.05 | Jan 4, 2016 | M | 3,593 | D | — | Nov 13, 2017 | Common Stock | 3,593 | 307 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $74.05 | Jan 5, 2016 | M | 307 | D | — | Nov 13, 2017 | Common Stock | 307 | 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 November 24, 2015.
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of December 8, 2015. Includes shares acquired under a dividend reinvestment plan.
- 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 December 1, 2015.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.