0001137411-18-000123.txt : 20181128 0001137411-18-000123.hdr.sgml : 20181128 20181128190318 ACCESSION NUMBER: 0001137411-18-000123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181126 FILED AS OF DATE: 20181128 DATE AS OF CHANGE: 20181128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALLEN PATRICK E CENTRAL INDEX KEY: 0001191569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16445 FILM NUMBER: 181206721 MAIL ADDRESS: STREET 1: 400 COLLINS ROAD NE 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 2018-11-26 1 0001137411 ROCKWELL COLLINS INC COL 0001191569 ALLEN PATRICK E M/S 124-318 400 COLLINS ROAD NE CEDAR RAPIDS IA 52498-0001 0 1 0 0 Sr. VP and CFO Common Stock 2018-11-26 4 D 0 71908.649 D 0 D Common Stock 2018-11-26 4 D 0 7141.781 D 0 I By Savings Plan Stock Option (Right to Buy) 53.08 2018-11-26 4 M 0 35200 0 D 2019-11-20 Common Stock 35200 0 D Stock Option (Right to Buy) 55.75 2018-11-26 4 M 0 34000 0 D 2020-11-19 Common Stock 34000 0 D Stock Option (Right to Buy) 55.01 2018-11-26 4 M 0 36000 0 D 2021-11-14 Common Stock 36000 0 D Stock Option (Right to Buy) 54.37 2018-11-26 4 M 0 40200 0 D 2022-11-12 Common Stock 40200 0 D Stock Option (Right to Buy) 70.97 2018-11-26 4 M 0 27200 0 D 2023-11-11 Common Stock 27200 0 D Stock Option (Right to Buy) 83.69 2018-11-26 4 M 0 25600 0 D 2024-11-17 Common Stock 25600 0 D Stock Option (Right to Buy) 86.75 2018-11-26 4 M 0 28200 0 D 2025-11-09 Common Stock 28200 0 D Stock Option (Right to Buy) 88.71 2018-11-26 4 M 0 32100 0 D 2026-11-14 Common Stock 32100 0 D Phantom Stock 2018-11-26 4 M 0 3375.3576 D Common Stock 3375.3576 0 I By Non-Qualified Savings Plans Includes (a) 61,708.6490 shares of Issuer common stock disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated September 4, 2017, by and among the Issuer, United Technologies Corporation ("UTC") and the Riveter Merger Sub Corp., for the per share merger consideration of $93.33 in cash and .37525 shares of UTC common stock and cash for partial shares (the "Merger Consideration"), (b) 6,200 shares disposed of for Merger Consideration upon immediate vesting of FY'17-19 performance shares at target pursuant to the Merger Agreement and (c) 4,000 restricted stock units and 5,999 FY'18-20 performance shares granted in November 2017 exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio (as set forth in the Merger Agreement). Disposed of for Merger Consideration to be received by the reporting person's account under the Savings Plan. These options, which provided for vesting in three equal annual installments commencing on the date of grant (which was ten years prior to the expiration date), were disposed of for the right to receive the Merger Consideration for each Net Option Share (as set forth in the Merger Agreement) subject to the option. Represents phantom shares of common stock held as units in the Issuer's (1) 2005 non-qualified savings plan disposed of for a cash payment based upon the value of the Merger Consideration (as set forth in the Merger Agreement) with respect to 3,354.2405 units and (2) pre 2005 non-qualified savings plan exchanged for number of deferred UTC stock units based upon the Equity Award Exchange Ratio (as set forth in the Merger Agreement) with respect to 21.1171 units. The price varies based on the date the phantom stock was credited. Joshua A. Mullin, Attorney-in-Fact 2018-11-28