0001137411-17-000163.txt : 20171222 0001137411-17-000163.hdr.sgml : 20171222 20171222112257 ACCESSION NUMBER: 0001137411-17-000163 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171221 FILED AS OF DATE: 20171222 DATE AS OF CHANGE: 20171222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAHONEY COLIN R CENTRAL INDEX KEY: 0001570959 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 171271684 MAIL ADDRESS: STREET 1: 400 COLLINS ROAD NE STREET 2: M/S 153-100 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 2017-12-21 0001137411 ROCKWELL COLLINS INC COL 0001570959 MAHONEY COLIN R M/S 153-100 400 COLLINS ROAD NE CEDAR RAPIDS IA 52498 0 1 0 0 Sr. VP International & Service Common Stock 2017-12-21 4 M 0 6120 55.75 A 20253.4758 D Common Stock 2017-12-21 4 M 0 6480 55.01 A 26733.4758 D Common Stock 2017-12-21 4 F 0 8741 135.00 D 17992.4758 D Common Stock 3581.1895 I By Savings Plan Stock Option (Right to Buy) 55.75 2017-12-21 4 M 0 6120 0 D 2020-11-19 Common Stock 6120 0 D Stock Option (Right to Buy) 55.01 2017-12-21 4 M 0 6480 0 D 2021-11-14 Common Stock 6480 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 December 15, 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. The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $134.89 to $135.10, 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. 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 2017-12-22