0001137411-17-000111.txt : 20171108 0001137411-17-000111.hdr.sgml : 20171108 20171108115110 ACCESSION NUMBER: 0001137411-17-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171106 FILED AS OF DATE: 20171108 DATE AS OF CHANGE: 20171108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALLEN PATRICK E CENTRAL INDEX KEY: 0001191569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 171185704 MAIL ADDRESS: STREET 1: 400 COLLINS ROAD NE CITY: CEDAR RAPIDS STATE: IA ZIP: 52498 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 400 COLLINS ROAD NE CITY: CEDAR RAPIDS STATE: IA ZIP: 52498 BUSINESS PHONE: 3192951000 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-11-06 0001137411 ROCKWELL COLLINS INC COL 0001191569 ALLEN PATRICK E M/S 124-318 400 COLLINS ROAD NE CEDAR RAPIDS IA 52498-0001 0 1 0 0 Sr. VP and CFO Common Stock 2017-11-06 4 M 0 1350 74.05 A 50317.649 D Common Stock 2017-11-06 4 M 0 35000 30.39 A 85317.649 D Common Stock 2017-11-06 4 S 0 35000 135.34 D 50317.649 D Common Stock 6974.1734 I By Savings Plan Stock Option (Right to Buy) 74.05 2017-11-06 4 M 0 1350 0 D 2017-11-13 Common Stock 1350 0 D Stock Option (Right to Buy) 30.39 2017-11-06 4 M 0 35000 0 D 2018-11-21 Common Stock 35000 28700 D The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 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 transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017. The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $135.00 to $135.92, 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 are currently exercisable. Joshua A. Mullin, Attorney-in-Fact 2017-11-08