SEC Form 4 · accession 0001137411-17-000144
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
Nov 17, 2017
Accepted (ET)
Nov 20, 2017 · 3:09 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 StockF2 | Nov 17, 2017 | M | 1,967 | $83.69 | A | 7,148 | D | |
| Common StockF2 | Nov 17, 2017 | S | 1,967 | $132.30 | D | 5,181 | D | |
| Common StockF3 | 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)F4,F5 | $83.69 | Nov 17, 2017 | M | 1,967 | D | — | Nov 17, 2024 | Common Stock | 1,967 | 0 | D |
Explanation of responses
- F1These transactions 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 November 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 November 1, 2017.
- F4Employee stock options granted pursuant to the Company's stock based plan.
- F5The options vested in three substantially equal annual installments beginning 9 years prior to the option expiration date.