0001137411-17-000119.txt : 20171108 0001137411-17-000119.hdr.sgml : 20171108 20171108164204 ACCESSION NUMBER: 0001137411-17-000119 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: NIEUWSMA DAVID J CENTRAL INDEX KEY: 0001672811 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 171187156 MAIL ADDRESS: STREET 1: 400 COLLINS ROAD NE STREET 2: M/S 120-102 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 0001672811 NIEUWSMA DAVID J 2551 RIVA ROAD ANNAPOLIS MD 21401 0 1 0 0 SR. VP, INFORMATION MGMT SVCS Common Stock 2017-11-06 4 M 0 3933 83.69 A 6385.19 D Common Stock 2017-11-06 4 M 0 2166 86.75 A 8551.19 D Common Stock 2017-11-06 4 M 0 1066 93.99 A 9617.19 D Common Stock 2017-11-06 4 S 0 7165 135.35 D 2452.19 D Common Stock 313.4593 I By Savings Plan Stock Options (Right-to-Buy) 83.69 2017-11-06 4 M 0 3933 0 D 2024-11-17 Common Stock 3933 1967 D Stock Options (Right-to-Buy) 86.75 2017-11-06 4 M 0 2166 0 D 2025-11-09 Common Stock 2166 4334 D Stock Options (Right-to-Buy) 93.99 2017-11-06 4 M 0 1066 0 D 2026-04-20 Common Stock 1066 2134 D 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. Joshua A. Mullin, Attorney-in-Fact 2017-11-08