0001137411-17-000156.txt : 20171218 0001137411-17-000156.hdr.sgml : 20171218 20171218154016 ACCESSION NUMBER: 0001137411-17-000156 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171215 FILED AS OF DATE: 20171218 DATE AS OF CHANGE: 20171218 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: 171261311 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 2017-12-15 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 2017-12-15 4 M 0 3290 30.39 A 129149.574 D Common Stock 5015.9913 I By Savings Plan Stock Option (Right to Buy) 30.39 2017-12-15 4 M 0 3290 0 D 2018-11-21 Common Stock 3290 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 December 1, 2017. 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 stock based plans. The options vested in three substantially equal annual installments beginning 9 years prior to the option expiration date. Joshua A. Mullin, Attorney-in-Fact 2017-12-18