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