Filing Details

Accession Number:
0001137411-17-000119
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-08 16:42:04
Reporting Period:
2017-11-06
Accepted Time:
2017-11-08 16:42:04
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1137411 Rockwell Collins Inc COL Aircraft Parts & Auxiliary Equipment, Nec (3728) 522314475
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1672811 J David Nieuwsma 2551 Riva Road
Annapolis MD 21401
Sr. Vp, Information Mgmt Svcs No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-11-06 3,933 $83.69 6,385 No 4 M Direct
Common Stock Acquisiton 2017-11-06 2,166 $86.75 8,551 No 4 M Direct
Common Stock Acquisiton 2017-11-06 1,066 $93.99 9,617 No 4 M Direct
Common Stock Disposition 2017-11-06 7,165 $135.35 2,452 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Options (Right-to-Buy) Disposition 2017-11-06 3,933 $0.00 3,933 $83.69
Common Stock Stock Options (Right-to-Buy) Disposition 2017-11-06 2,166 $0.00 2,166 $86.75
Common Stock Stock Options (Right-to-Buy) Disposition 2017-11-06 1,066 $0.00 1,066 $93.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,967 2024-11-17 No 4 M Direct
4,334 2025-11-09 No 4 M Direct
2,134 2026-04-20 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 313 Indirect By Savings Plan
Footnotes
  1. These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 6, 2017.
  2. These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
  3. Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of November 1, 2017.
  4. The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $134.98 to $135.81, 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.
  5. Shares 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 November 1, 2017.
  6. Employee stock options granted pursuant to the Company's stock based plans.
  7. The options vest in three substantially equal annual installments beginning 9 years prior to the option expiration date.