0001137411-17-000116.txt : 20171108 0001137411-17-000116.hdr.sgml : 20171108 20171108133501 ACCESSION NUMBER: 0001137411-17-000116 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: STURGELL ROBERT A CENTRAL INDEX KEY: 0001462265 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 171185991 MAIL ADDRESS: STREET 1: 1300 WILSON BLVD. STREET 2: STE. 200 CITY: ARLINGTON STATE: VA ZIP: 22209 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 0001462265 STURGELL ROBERT A 1300 WILSON BLVD. SUITE 200 ARLINGTON VA 22209 0 1 0 0 Sr. VP, Washington Operations Common Stock 2017-11-06 4 M 0 3667 70.97 A 9212.346 D Common Stock 2017-11-06 4 M 0 3466 83.69 A 12678.346 D Common Stock 2017-11-06 4 M 0 1900 86.75 A 14578.346 D Common Stock 2017-11-06 4 S 0 9033 135.33 D 5545.346 D Common Stock 4101.0732 I By Savings Plan Stock Option (Right to Buy) 70.97 2017-11-06 4 M 0 3667 0 D 2023-11-11 Common Stock 3667 0 D Stock Option (Right to Buy) 83.69 2017-11-06 4 M 0 3466 0 D 2024-11-17 Common Stock 3466 1734 D Stock Option (Right to Buy) 86.75 2017-11-06 4 M 0 1900 0 D 2025-11-08 Common Stock 1900 3800 D 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. 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 $135.00 to $135.85, 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