SEC Form 4 · accession 0001137411-16-000208
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
Jul 11, 2016
Accepted (ET)
Jul 13, 2016 · 4:57 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 | Jul 11, 2016 | M | 2,184 | $30.39 | A | 17,417 | D | |
| Common StockF2 | Jul 11, 2016 | S | 2,184 | $85.00 | D | 15,233 | D | |
| Common StockF2 | Jul 12, 2016 | M | 1,416 | $30.39 | A | 16,649 | D | |
| Common StockF3 | holding | — | — | — | 1,364 | 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,F6,F5 | $30.39 | Jul 11, 2016 | M | 2,184 | D | — | Nov 21, 2018 | Common Stock | 2,184 | 8,727 | D |
| Employee Stock Option (Right to Buy)F4,F5 | $30.39 | Jul 12, 2016 | M | 1,416 | D | — | Nov 21, 2018 | Common Stock | 1,484 | 7,311 | 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 June 6, 2016.
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of July 6, 2016. 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 July 1, 2016.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.
- F6For the transaction in these derivative securities that occurred on July 8, 2016, the amount in this column was reported as zero. The amount should have been reported as 10,911.