SEC Form 4 · accession 0001672811-17-000015

ROCKWELL COLLINS INC · COL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO & President · Director

Period of report

Mar 20, 2017

Accepted (ET)

Mar 21, 2017 · 3:20 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^F2	Mar 20, 2017	M	20,200	$74.05	A	102,649	D
Common Stock^F3,F2	Mar 20, 2017	S	18,850	$98.844	D	83,799	D
Common Stock^F4	holding	—	—		—	4,925	I	By Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F5,F6	$74.05	Mar 20, 2017	M	20,200	D	—	Nov 13, 2017	Common Stock	20,200	0	D

F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 26, 2017.
F2Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of March 1, 2017.
F3The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $98.74 to $98.958, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, or other appropriate persons, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F4Shares 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.
F5Employee stock options granted pursuant to the Company's stock based plans.
F6The options are currently exercisable.