SEC Form 4 · accession 0001672811-16-000002
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tatum J. Buse
Officer — VP, Finance and Controller
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:41 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 | Nov 14, 2016 | A | 1,382 | $0.00 | A | 2,483 | D | |
| Common Stock | Nov 14, 2016 | F | 461 | $88.71 | D | 2,022 | D | |
| Common StockF2 | holding | — | — | — | 726 | 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)F3,F4 | $88.71 | Nov 14, 2016 | A | 5,900 | A | — | Nov 14, 2026 | Common Stock | 5,900 | 5,900 | D |
Explanation of responses
- F1Vesting of performance shares granted under the Company's Long-Term Incentives Plan ("LTIP").
- 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 November 1, 2016.
- F3Employee stock options granted under the LTIP.
- F4The options vest in three substantially equal annual installments beginning November 14, 2017.