SEC Form 4 · accession 0001137411-18-000101
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
Nov 13, 2018
Accepted (ET)
Nov 13, 2018 · 6:29 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, 2018 | F | 3,747 | $131.48 | D | 143,728 | D | |
| Common StockF3 | holding | — | — | — | 5,167 | I | By Savings Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Tax withholding in respect of the portion of the RSUs granted on November 13, 2017 that vested on November 13, 2018.
- 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 November 1, 2018.