SEC Form 4 · accession 0001137411-17-000122

ROCKWELL COLLINS INC · COL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SR. VP, INFORMATION MGMT SVCS

Period of report

Nov 9, 2017

Accepted (ET)

Nov 13, 2017 · 9:05 am EST

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^F2	Nov 9, 2017	M	2,167	$86.75	A	4,619	D
Common Stock^F3,F2	Nov 9, 2017	S	2,167	$133.91	D	2,452	D
Common Stock^F4	holding	—	—		—	313	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options (Right-to-Buy)^F5,F6	$86.75	Nov 9, 2017	M	2,167	D	—	Nov 9, 2025	Common Stock	2,167	2,167	D

F1These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of November 1, 2017.
F3The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $133.50 to $134.40, 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.
F4Shares 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 November 1, 2017.
F5Employee stock options granted pursuant to the Company's stock based plan.
F6The options vest in three substantially equal annual installments beginning 9 years prior to the option expiration date.