SEC Form 4 · accession 0001137411-17-000075
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Nieuwsma
Officer — SR. VP, INFORMATION MGMT SVCS
Period of report
May 9, 2017
Accepted (ET)
May 10, 2017 · 7:31 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 StockF2 | May 9, 2017 | M | 6,250 | $70.97 | A | 8,634 | D | |
| Common StockF2 | May 9, 2017 | S | 6,250 | $105.00 | D | 2,384 | D | |
| Common StockF3 | holding | — | — | — | 248 | 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 Options (Right-to-Buy)F4,F5 | $70.97 | May 9, 2017 | M | 6,250 | D | — | Nov 11, 2023 | Common Stock | 6,250 | 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 February 6, 2017.
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of May 1, 2017.
- 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 May 1, 2017.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.