SEC Form 4 · accession 0001672811-17-000034
ROCKWELL COLLINS INC · COL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T Whates
Director
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 4:50 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 | 2,436 | — | A | 2,436 | D | |
| 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 3,991 shares of B/E Aerospace, Inc. ("B/E") common stock and 3,867 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.
- F2Restricted 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.