SEC Form 4 · accession 0001672811-16-000009
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Kelly Ortberg
Officer — CEO & President · Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:47 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 14, 2016 | A | 24,166 | $0.00 | A | 94,037 | D | |
| Common StockF2 | Nov 14, 2016 | F | 11,588 | $88.71 | D | 82,449 | D | |
| Common StockF3 | holding | — | — | — | 4,832 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Right to Buy)F4,F5 | $88.71 | Nov 14, 2016 | A | 151,400 | A | — | Nov 15, 2026 | Common Stock | 151,400 | 151,400 | D |
Explanation of responses
- F1Vesting of performance shares granted under the Company's Long-Term Incentives Plan ("LTIP").
- F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of November 3, 2016.
- 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, 2016.
- F4Employee stock options granted under the LTIP.
- F5The options vest in three substantially equal annual installments beginning November 14, 2017.