Statement of Changes in Beneficial Ownership (4)
March 12 2015 - 5:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
STATLER KENT L
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2. Issuer Name
and
Ticker or Trading Symbol
ROCKWELL COLLINS INC
[
COL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
ExecVP and COO, Commercial Sys
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(Last)
(First)
(Middle)
M/S 124-123, 400 COLLINS ROAD NE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2015
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(Street)
CEDAR RAPIDS, IA 52498-0001
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/10/2015
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M
(1)
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2229
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A
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$44.85
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39230.815
(2)
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D
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Common Stock
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3/10/2015
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M
(1)
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10600
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A
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$74.05
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49830.815
(2)
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D
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Common Stock
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3/10/2015
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M
(1)
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3290
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A
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$30.39
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53120.815
(2)
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D
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Common Stock
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3/10/2015
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M
(1)
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1726
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A
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$57.92
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54846.815
(2)
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D
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Common Stock
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3/10/2015
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S
(1)
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17845
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D
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$92.03
(3)
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37001.815
(2)
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D
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Common Stock
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4463.3597
(4)
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I
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By Savings Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
(5)
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$44.85
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3/10/2015
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M
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2229
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(6)
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11/17/2015
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Common Stock
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2229
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$0
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0
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D
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Stock Option (Right to Buy)
(5)
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$57.92
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3/10/2015
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M
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1726
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(6)
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11/9/2016
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Common Stock
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1726
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$0
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0
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D
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Stock Option (Right to Buy)
(5)
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$74.05
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3/10/2015
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M
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10600
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(6)
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11/13/2017
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Common Stock
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10600
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$0
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0
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D
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Stock Option (Right to Buy)
(5)
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$30.39
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3/10/2015
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M
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3290
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(6)
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11/21/2018
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Common Stock
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3290
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$0
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0
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D
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Explanation of Responses:
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(
1)
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The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 5, 2015.
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(
2)
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Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of March 3, 2015.
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(
3)
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The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $91.64 to $92.54, 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.
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(
4)
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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 March 2, 2015.
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(
5)
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Employee stock options granted pursuant to the Company's stock based plans.
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(
6)
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The options are currently exercisable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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STATLER KENT L
M/S 124-123
400 COLLINS ROAD NE
CEDAR RAPIDS, IA 52498-0001
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ExecVP and COO, Commercial Sys
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Signatures
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Vaughn M. Klopfenstein
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3/12/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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