Filing Details
- Accession Number:
- 0001137411-16-000209
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-07-13 16:58:48
- Reporting Period:
- 2016-07-11
- Filing Date:
- 2016-07-13
- Accepted Time:
- 2016-07-13 16:58:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1377692 | Kelly Robert Ortberg | M/S 124-323 400 Collins Road Ne Cedar Rapids IA 52498-0001 | Ceo & President | Yes | 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 | 2016-07-11 | 25,474 | $57.92 | 95,345 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-07-11 | 101 | $83.46 | 95,244 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-07-11 | 20,673 | $84.95 | 74,571 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-07-11 | 4,700 | $85.07 | 69,871 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2016-07-11 | 25,474 | $0.00 | 25,474 | $57.92 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-11-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,811 | Indirect | By Savings Plan |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016.
- Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of July 6, 2016.
- The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $84.03 to $85.02, 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.
- The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $85.03 to $85.21, 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.
- 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 July 1, 2016.
- Employee stock options granted pursuant to the Company's stock based plans.
- The options are currently exercisable.
- For the transaction in these derivative securities that occurred on June 30, 2016, the amount in this column was reported as zero. The amount should have been 25,474.
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