SEC Form 4 · accession 0001137411-17-000147
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Perna
Officer — Sr. VP, Gnrl Counsel & Secy
Period of report
Dec 4, 2017
Accepted (ET)
Dec 5, 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 Stock | Dec 4, 2017 | M | 14,600 | $76.10 | A | 23,220 | D | |
| Common Stock | Dec 4, 2017 | M | 14,700 | $83.69 | A | 37,920 | D | |
| Common Stock | Dec 4, 2017 | M | 11,733 | $86.75 | A | 49,653 | D | |
| Common Stock | Dec 4, 2017 | M | 6,566 | $88.71 | A | 56,219 | D | |
| Common StockF2 | Dec 4, 2017 | S | 44,399 | $133.43 | D | 11,820 | D | |
| Common StockF3 | Dec 4, 2017 | S | 3,200 | $133.76 | D | 8,620 | D | |
| Common StockF4 | holding | — | — | — | 510 | 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 Option (Right to Buy)F5,F6 | $76.10 | Dec 4, 2017 | M | 14,600 | D | — | Feb 6, 2024 | Common Stock | 14,600 | 0 | D |
| Stock Option (Right to Buy)F5,F6 | $83.69 | Dec 4, 2017 | M | 14,700 | D | — | Nov 17, 2024 | Common Stock | 14,700 | 0 | D |
| Stock Option (Right to Buy)F5,F6 | $86.75 | Dec 4, 2017 | M | 11,733 | D | — | Nov 9, 2025 | Common Stock | 11,733 | 5,867 | D |
| Stock Option (Right to Buy)F5,F6 | $88.71 | Dec 4, 2017 | M | 6,566 | D | — | Nov 14, 2026 | Common Stock | 6,566 | 13,134 | D |
Explanation of responses
- F1These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
- F2The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $132.70 to $133.68, 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.
- F3The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $133.71 to $133.81, 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 December 1, 2017.
- F5Employee stock options granted pursuant to the Company's 2015 Long-Term Incentives Plan ("LTIP").
- F6The options vest in three equal or substantially equal annual installments beginning 9 years prior to the Expiration Date.