SEC Form 4 · accession 0001672811-17-000033
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Hamermesh
Director
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 4:49 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 StockF1 | Apr 13, 2017 | A | 6,876 | — | A | 6,876 | D | |
| Common StockF2 | Apr 13, 2017 | A | 620 | — | A | 620 | I | By Family Trust |
| Common Stock | Apr 13, 2017 | A | 2,036 | $96.63 | A | 2,036 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Received in connection with the merger of B/E into a subsidiary of the issuer (the "Merger") in exchange for 9,009 shares of B/E Aerospace, Inc. ("B/E") common stock and 13,168 shares of B/E common stock deferred under B/E's Non-Employee Directors Plan. On the effective date of the Merger (April 13, 2017), each of the reporting person's shares of B/E common stock were converted into the right to receive $34.10 in cash, .3101 shares of the issuer and cash in lieu of fractional shares.
- F2Received in the Merger in exchange for 2,000 shares of B/E common stock. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
- F3Restricted stock units awarded as compensation upon appointment as a Director. Shares of common stock underlying restricted stock units will be issued promptly after departure from the Board of Directors unless the Director has elected to defer receipt of such shares.