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
- These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 6, 2017.
- These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
- 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.
- 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.
- 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.
- Employee stock options granted pursuant to the Company's stock based plans.
- The options vest in three substantially equal annual installments beginning 9 years prior to the option expiration date.
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