SEC Form 4 · accession 0001672811-17-000016
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick E Allen
Officer — Sr. VP and CFO
Period of report
Mar 20, 2017
Accepted (ET)
Mar 21, 2017 · 6:01 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 StockF2 | Mar 20, 2017 | M | 2,000 | $74.05 | A | 50,844 | D | |
| Common StockF2 | Mar 20, 2017 | S | 2,000 | $98.93 | D | 48,844 | D | |
| Common StockF2 | Mar 21, 2017 | M | 2,000 | $74.05 | A | 50,844 | D | |
| Common StockF2 | Mar 21, 2017 | S | 2,000 | $99.37 | D | 48,844 | D | |
| Common StockF3 | holding | — | — | — | 6,847 | 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 | Mar 20, 2017 | M | 2,000 | D | — | Nov 13, 2017 | Common Stock | 2,000 | 3,550 | D |
| Stock Option (Right to Buy)F4,F5 | $74.05 | Mar 21, 2017 | M | 2,000 | D | — | Nov 13, 2017 | Common Stock | 2,000 | 1,550 | 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.
- 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.
- 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 March 1, 2017.
- F4Employee stock options granted pursuant to the Company's stock based plans.
- F5The options are currently exercisable.