FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/07/2014 |
3. Issuer Name and Ticker or Trading Symbol
ROCKWELL COLLINS INC [ COL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 364.9155(1) | I | By Savings Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy)(2) | (3) | 11/13/2017 | Common Stock | 3,900 | $74.05 | D | |
Employee Stock Option (Right to Buy)(2) | (4) | 11/14/2021 | Common Stock | 5,534 | $55.01 | D | |
Employee Stock Option (Right to Buy)(2) | (5) | 11/12/2022 | Common Stock | 6,200 | $54.37 | D | |
Employee Stock Option (Right to Buy)(2) | (6) | 11/11/2023 | Common Stock | 6,300 | $70.97 | D | |
Common Stock Share Equivalents(7) | (8) | (8) | Common Stock | 111.1813 | $0 | I | By Supplemental Savings Plan |
Explanation of Responses: |
1. 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 January 7, 2014. |
2. Employee stock options granted pursuant to the Company's stock based plans which vest in three substantially equal annual installments. |
3. The options are currently exercisable. |
4. 2,767 options are currently exercisable; 2,767 options become exercisable on November 14, 2014. |
5. 3,100 options become exercisable on November 12, 2014; 3,100 options become exercisable on November 12, 2015. |
6. 2,100 options become exercisable on November 11, 2014; 2,100 options become exercisable on November 11, 2015 and 2,100 options become exercisable on November 11, 2016. |
7. Share equivalents represented by Company stock fund units credited under the Company's non-qualified savings plan based on information furnished by the Administrator of the Plan as of January 7, 2014. |
8. Payable in cash upon termination of employment. |
Remarks: |
Vaughn M. Klopfenstein, Attorney-in-Fact | 01/15/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |