0001137411-17-000117.txt : 20171108 0001137411-17-000117.hdr.sgml : 20171108 20171108144648 ACCESSION NUMBER: 0001137411-17-000117 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: Ortberg Robert Kelly CENTRAL INDEX KEY: 0001377692 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 171186236 MAIL ADDRESS: STREET 1: 400 COLLINS ROAD NE STREET 2: M/S 124-124 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 0001377692 Ortberg Robert Kelly M/S 124-323 400 COLLINS ROAD NE CEDAR RAPIDS IA 52498-0001 1 1 0 0 CEO & President Common Stock 2017-11-06 4 M 0 74510 30.39 A 158308.574 D Common Stock 2017-11-06 4 M 0 43000 53.08 A 201308.574 D Common Stock 2017-11-06 4 M 0 37400 55.75 A 238708.574 D Common Stock 2017-11-06 4 M 0 39600 55.01 A 278308.574 D Common Stock 2017-11-06 4 M 0 72400 54.37 A 350708.574 D Common Stock 2017-11-06 4 M 0 33100 73.99 A 383808.574 D Common Stock 2017-11-06 4 M 0 95100 70.97 A 478908.574 D Common Stock 2017-11-06 4 S 0 395110 135.35 D 83798.574 D Common Stock 5014.5003 I By Savings Plan Stock Option (Right to Buy) 30.39 2017-11-06 4 M 0 74510 0 D 2018-11-21 Common Stock 74510 0 D Stock Option (Right to Buy) 53.08 2017-11-06 4 M 0 43000 0 D 2019-11-20 Common Stock 43000 3290 D Stock Option (Right to Buy) 55.75 2017-11-06 4 M 0 37400 0 D 2020-11-19 Common Stock 37400 0 D Stock Option (Right to Buy) 55.01 2017-11-06 4 M 0 39600 0 D 2021-11-14 Common Stock 39600 0 D Stock Option (Right to Buy) 54.37 2017-11-06 4 M 0 72400 0 D 2022-11-12 Common Stock 72400 0 D Stock Option (Right to Buy) 73.99 2017-11-06 4 M 0 33100 0 D 2023-09-18 Common Stock 33100 0 D Stock Option (Right to Buy) 70.97 2017-11-06 4 M 0 95100 0 D 2023-11-11 Common Stock 95100 0 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 in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $135.00 to $135.96, 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