SEC Form 4 · accession 0001672811-17-000009
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Colin R Mahoney
Officer — Sr. VP International & Service
Period of report
Mar 14, 2017
Accepted (ET)
Mar 15, 2017 · 1:28 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 Stock | Mar 14, 2017 | M | 770 | $74.05 | A | 11,290 | D | |
| Common Stock | Mar 14, 2017 | S | 770 | $98.78 | D | 10,520 | D | |
| Common StockF2 | holding | — | — | — | 3,480 | 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)F3,F4 | $74.05 | Mar 14, 2017 | M | 770 | D | — | Nov 13, 2017 | Common Stock | 770 | 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 February 3, 2017.
- 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 March 1, 2017.
- F3Employee stock options granted pursuant to the Company's stock based plans.
- F4The options are currently exercisable.