SEC Form 4 · accession 0001137411-16-000175
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Carbone
Director
Period of report
Apr 4, 2016
Accepted (ET)
Apr 6, 2016 · 11:36 am 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 StockF1,F2 | Apr 4, 2016 | A | 271 | $92.33 | A | 40,573 | D | |
| Common StockF3 | holding | — | — | — | 25,075 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units awarded as compensation for services as Director. Shares of common stock underlying restricted stock units will be issued promptly after departure from the Board of Directors.
- F2Includes dividend equivalents issued quarterly on the restricted stock units.
- F311,984 of these shares are restricted shares and were delivered as compensation for services as Director. The restricted shares are held by issuer to implement restrictions on transfer unless and until certain conditions are met.