0001137411-17-000110.txt : 20171103 0001137411-17-000110.hdr.sgml : 20171103 20171103144017 ACCESSION NUMBER: 0001137411-17-000110 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171103 ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWELL COLLINS INC CENTRAL INDEX KEY: 0001137411 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT PART & AUXILIARY EQUIPMENT, NEC [3728] IRS NUMBER: 522314475 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 171175991 BUSINESS ADDRESS: STREET 1: 400 COLLINS ROAD NE CITY: CEDAR RAPIDS STATE: IA ZIP: 52498 BUSINESS PHONE: 3192951000 8-K 1 a8-k11117.htm 8-K Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
_______________________

FORM 8-K
CURRENT REPORT PURSUANT TO
SECTION 13 OR 15(d) OF THE
SECURITIES EXHANGE ACT OF 1934

Date of Report (Date of earliest event reported):
November 3, 2017 (November 3, 2017)
_______________________

Rockwell Collins, Inc.
(Exact name of registrant as specified in its charter)

Delaware
001-16445
52-2314475
(State or other jurisdiction
(Commission File Number)
(I.R.S. Employer
of incorporation or organization)
 
 
Identification No.)
 
 
 
 
400 Collins Rd NE
52498
Cedar Rapids, Iowa
(Zip Code)
(Address of principal executive officers)
 

Registrant's telephone number, including area code: (319) 295-1000


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions.


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

¨Emerging growth company
¨If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.




INFORMATION TO BE INCLUDED IN THE REPORT

Item 7.01. Regulation FD Disclosure.

Several executive officers of Rockwell Collins, Inc. (the “Company”) entered into sales trading plans subsequent to the Company's recent earnings release pursuant to Rule 10b5-1 ("10b5-1 Plans”) of the Securities Exchange Act of 1934. Each plan has been approved by the Company in accordance with its Insider Trading Policy and is consistent with the executive's obligations under the Company's stock ownership guidelines. The plans are part of each executive’s transaction-related tax planning in light of the pending acquisition of the Company by United Technologies Corporation. Company executives may enter into Rule 10b5-1 trading plans in the future from time to time, and Company executives have previously entered into such trading plans.





SIGNATURE
    
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


 
 
ROCKWELL COLLINS, INC.
 
 
(Registrant)
 
 
 
 
Dated:     
November 3, 2017
By 
/s/ Robert J. Perna
 
 
 
Robert J. Perna
 
 
 
Senior Vice President,
 
 
 
General Counsel and Secretary