SEC Form 4 · accession 0001137411-17-000159
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas E Stenske
Officer — VP Treas & Risk Mgmt
Period of report
Dec 18, 2017
Accepted (ET)
Dec 19, 2017 · 11:38 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 | Dec 18, 2017 | A | 2,457 | $30.39 | A | 8,776 | D | |
| Common Stock | Dec 18, 2017 | S | 2,457 | $135.00 | D | 6,319 | D | |
| Common Stock | Dec 18, 2017 | A | 830 | $53.08 | A | 7,149 | D | |
| Common Stock | Dec 18, 2017 | S | 830 | $135.00 | D | 6,319 | D | |
| Common StockF2 | holding | — | — | — | 485 | 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)F3,F4 | $30.39 | Dec 18, 2017 | M | 2,457 | D | — | Nov 21, 2018 | Common Stock | 2,457 | 0 | D |
| Stock Option (Right to Buy)F3,F4 | $53.08 | Dec 18, 2017 | M | 830 | D | — | Nov 20, 2019 | Common Stock | 830 | 3,240 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2017.
- F2Shares 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.
- F3Employee stock options granted pursuant to the Company's stock based plans.
- F4The options vest in three substantially equal annual installments beginning 9 years prior to the option expiration date.