SEC Form 4 · accession 0001137411-18-000083
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Kelly Ortberg
Officer — Chairman, Pres & CEO · Director
Period of report
Oct 1, 2018
Accepted (ET)
Oct 2, 2018 · 4:52 pm EDT
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 | Oct 1, 2018 | A | 32,854 | $0.00 | A | 162,004 | D | |
| Common StockF2 | Oct 1, 2018 | F | 14,529 | $141.27 | D | 147,475 | D | |
| Common StockF3 | holding | — | — | — | 5,152 | I | By Savings Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vesting of performance shares granted on November 9, 2015 under the Company's Long-Term Incentives Plan ("LTIP").
- F2Includes shares acquired under the Company's employee stock purchase plan.
- 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 September 1, 2018.