SEC Form 4 · accession 0001137411-17-000127
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick E Allen
Officer — Sr. VP and CFO
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 4:26 pm 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 StockF1,F2 | Nov 13, 2017 | A | 6,274 | $0.00 | A | 56,592 | D | |
| Common StockF2 | Nov 13, 2017 | F | 3,009 | $133.37 | D | 53,583 | D | |
| Common StockF2 | Nov 13, 2017 | A | 5,999 | $0.00 | A | 59,582 | D | |
| Common StockF4 | holding | — | — | — | 6,974 | I | By Savings Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vesting of performance shares granted under the Company's Long-Term Incentives Plan ("LTIP").
- 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.
- F3Restricted stock units which generally vest in three substantially equal annual installments on the first three anniversaries of the Transaction Date subject to continued employment.
- 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.