SEC Form 4 · accession 0001137411-16-000201
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Kelly Ortberg
Officer — CEO & President · Director
Period of report
Jun 30, 2016
Accepted (ET)
Jul 1, 2016 · 5:19 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 StockF2 | Jun 30, 2016 | M | 1,726 | $57.92 | A | 71,045 | D | |
| Common StockF2 | Jun 30, 2016 | F | 1,174 | $85.14 | D | 69,871 | D | |
| Common StockF3 | holding | — | — | — | 4,792 | 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)F4,F5 | $57.92 | Jun 30, 2016 | M | 1,726 | D | — | Nov 9, 2016 | Common Stock | 1,726 | 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 May 26, 2016.
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of June 6, 2016.
- 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 June 1, 2016.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.