SEC Form 4 · accession 0001137411-17-000135
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Nieuwsma
Officer — Sr. VP, Informaton Mgmt Svcs
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 4:39 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 | 1,444 | $0.00 | A | 3,896 | D | |
| Common StockF2 | Nov 13, 2017 | F | 515 | $133.37 | D | 3,381 | D | |
| Common StockF2 | Nov 13, 2017 | A | 1,800 | $0.00 | A | 5,181 | D | |
| Common StockF2 | Nov 14, 2017 | M | 3,900 | $88.71 | A | 9,081 | D | |
| Common StockF5,F2 | Nov 14, 2017 | S | 3,900 | $133.00 | D | 5,181 | D | |
| Common StockF6 | holding | — | — | — | 313 | 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)F7,F8 | $88.71 | Nov 14, 2017 | M | 3,900 | D | — | Nov 14, 2026 | Common Stock | 3,900 | 7,800 | D |
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.
- F4This transaction was pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
- F5The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $132.85 to $133.16, 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.
- F6Shares 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.
- F7Employee stock options granted pursuant to the Company's stock based plans.
- F8The options vest in three substantially equal annual installments beginning 9 years prior to the option expiration date.