0001137411-17-000147.txt : 20171205
0001137411-17-000147.hdr.sgml : 20171205
20171205163941
ACCESSION NUMBER: 0001137411-17-000147
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171204
FILED AS OF DATE: 20171205
DATE AS OF CHANGE: 20171205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PERNA ROBERT J
CENTRAL INDEX KEY: 0001181355
STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLES & PASSENGER CAR BODIES [3711]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16445
FILM NUMBER: 171240167
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
2017-12-04
0001137411
ROCKWELL COLLINS INC
COL
0001181355
PERNA ROBERT J
M/S 124-323
400 COLLINS ROAD NE
CEDAR RAPIDS
IA
52498
0
1
0
0
Sr. VP, Gnrl Counsel & Secy
Common Stock
2017-12-04
4
M
0
14600
76.10
A
23220
D
Common Stock
2017-12-04
4
M
0
14700
83.69
A
37920
D
Common Stock
2017-12-04
4
M
0
11733
86.75
A
49653
D
Common Stock
2017-12-04
4
M
0
6566
88.71
A
56219
D
Common Stock
2017-12-04
4
S
0
44399
133.43
D
11820
D
Common Stock
2017-12-04
4
S
0
3200
133.76
D
8620
D
Common Stock
509.9743
I
By Savings Plan
Stock Option (Right to Buy)
76.10
2017-12-04
4
M
0
14600
0
D
2024-02-06
Common Stock
14600
0
D
Stock Option (Right to Buy)
83.69
2017-12-04
4
M
0
14700
0
D
2024-11-17
Common Stock
14700
0
D
Stock Option (Right to Buy)
86.75
2017-12-04
4
M
0
11733
0
D
2025-11-09
Common Stock
11733
5867
D
Stock Option (Right to Buy)
88.71
2017-12-04
4
M
0
6566
0
D
2026-11-14
Common Stock
6566
13134
D
These transactions 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 $132.70 to $133.68, 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.
The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $133.71 to $133.81, 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 December 1, 2017.
Employee stock options granted pursuant to the Company's 2015 Long-Term Incentives Plan ("LTIP").
The options vest in three equal or substantially equal annual installments beginning 9 years prior to the Expiration Date.
Vaughn M. Klopfenstein, Attorney-in-Fact
2017-12-05