SEC Form 4 · accession 0001137411-16-000196
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A. Standerski
Officer — Sr. VP, People & Inclusion
Period of report
Jun 6, 2016
Accepted (ET)
Jun 7, 2016 · 4:32 pm 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 Stock | Jun 6, 2016 | M | 6,000 | $54.37 | A | 8,088 | D | |
| Common Stock | Jun 6, 2016 | S | 4,300 | $87.50 | D | 3,788 | D | |
| Common Stock | Jun 6, 2016 | F | 1,262 | $88.48 | D | 2,526 | D | |
| Common StockF2 | holding | — | — | — | 3,081 | 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)F3,F4 | $54.37 | Jun 6, 2016 | M | 6,000 | D | — | Nov 12, 2022 | Common Stock | 6,000 | 200 | 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 May 5, 2016.
- F2Shares 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 June 6, 2016.
- F3Employee stock options granted pursuant to the Company's stock based plans.
- F4The options are currently exercisable.