SEC Form 4 · accession 0001137411-16-000209
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
Jul 11, 2016
Accepted (ET)
Jul 13, 2016 · 4:58 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 | 25,474 | $57.92 | A | 95,345 | D | |
| Common StockF2 | Jul 11, 2016 | S | 101 | $83.46 | D | 95,244 | D | |
| Common StockF3,F2 | Jul 11, 2016 | S | 20,673 | $84.95 | D | 74,571 | D | |
| Common StockF4,F2 | Jul 11, 2016 | S | 4,700 | $85.07 | D | 69,871 | D | |
| Common StockF5 | holding | — | — | — | 4,811 | 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)F6,F8,F7 | $57.92 | Jul 11, 2016 | M | 25,474 | D | — | Nov 9, 2016 | Common Stock | 25,474 | 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 July 6, 2016.
- F3The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $84.03 to $85.02, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, or other appropriate persons, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F4The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $85.03 to $85.21, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, or other appropriate persons, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F5Shares 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.
- F6Employee stock options granted pursuant to the Company's stock based plans.
- F7The options are currently exercisable.
- F8For the transaction in these derivative securities that occurred on June 30, 2016, the amount in this column was reported as zero. The amount should have been 25,474.