SEC Form 3
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
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
KING BRUCE MICHAEL

(Last) (First) (Middle)
M/S 108-174
400 COLLINS ROAD NE

(Street)
CEDAR RAPIDS IA 52498

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/30/2011
3. Issuer Name and Ticker or Trading Symbol
ROCKWELL COLLINS INC [ COL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr. VP, Operations
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 10,358.888(1) D
Common Stock 5,361.3531(2) I By Savings Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)(3) (4) 07/05/2011 Common Stock 3,000 22.35 D
Employee Stock Option (Right to Buy)(3) (4) 09/11/2012 Common Stock 16,000 20.97 D
Employee Stock Option (Right to Buy)(3) (4) 11/06/2013 Common Stock 16,000 27.97 D
Employee Stock Option (Right to Buy)(3) (4) 11/02/2014 Common Stock 12,100 36.55 D
Employee Stock Option (Right to Buy)(3) (4) 11/17/2015 Common Stock 6,500 44.85 D
Employee Stock Option (Right to Buy)(3) (4) 11/09/2016 Common Stock 4,900 57.92 D
Employee Stock Option (Right to Buy)(3) (4) 11/13/2017 Common Stock 3,900 74.05 D
Employee Stock Option (Right to Buy)(3) (5) 11/21/2018 Common Stock 14,200 30.39 D
Employee Stock Option (Right to Buy)(3) (6) 11/20/2019 Common Stock 9,000 53.08 D
Employee Stock Option (Right to Buy)(3) (7) 11/19/2020 Common Stock 7,900 55.75 D
Common Stock Share Equivalents(8) (9) (9) Common Stock 70.1411(10) 0 I By Supplemental Savings Plan
Explanation of Responses:
1. Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of April 30, 2011.
2. 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 May 2, 2011.
3. Employee stock options granted pursuant to the Company's stock based plans.
4. The options vested in three substantially equal annual installments and are currently exercisable. The options vested on each of the first three anniversaries of the date of grant which was 10 years prior to the expiration date.
5. 9,466 options are currently exercisable; 4,734 options become exercisable on 11/21/2011.
6. 3,000 options are currently exercisable; 3,000 options become exercisable on 11/20/2011; and 3,000 options become exercisable on 11/20/2012.
7. 2,633 options become exercisable on 11/19/2011; 2,633 options become exercisable on 11/19/2012; and 2,634 options become exercisable on 11/19/2013.
8. 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 May 2, 2011.
9. Payable in cash upon termination of employment.
10. The number of share equivalents represented by the balance of a participant's Company stock fund may vary from day to day due to variances in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the supplemental plan.
Remarks:
Gary R. Chadick, Attorney-in-Fact 05/10/2011
** 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.