SEC Form 4 · accession 0001672811-17-000007
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nan Mattai
Officer — Sr VP, Engineering and Tech
Period of report
Jan 5, 2017
Accepted (ET)
Jan 6, 2017 · 3:43 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 Stock | Jan 5, 2017 | M | 5,700 | $74.05 | A | 14,139 | D | |
| Common Stock | Jan 5, 2017 | M | 13,700 | $53.08 | A | 27,839 | D | |
| Common Stock | Jan 5, 2017 | S | 19,400 | $92.55 | D | 8,439 | D | |
| Common StockF2 | holding | — | — | — | 710 | I | By IRA | |
| Common StockF3 | holding | — | — | — | 5,910 | 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)F4,F5 | $74.05 | Jan 5, 2017 | M | 5,700 | D | — | Nov 13, 2017 | Common Stock | 5,700 | 0 | D |
| Stock Option (Right to Buy)F4,F5 | $53.08 | Jan 5, 2017 | M | 13,700 | D | — | Nov 20, 2019 | Common Stock | 13,700 | 0 | 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 December 5, 2016.
- F2Shares rolled over into a self-directed IRA.
- 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 January 1, 2017.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.