NIEUWSMA DAVID J 4

4 · ROCKWELL COLLINS INC · Filed Nov 15, 2017

Form 4

Period: 2017-11-13

SENIOR VICE PRESIDENT

Transactions

Award
Common Stock
2017-11-13+1,444→ 3,896.19 total
Tax Payment
Common Stock
2017-11-13$133.37/sh−515$68,686→ 3,381.19 total
Award
Common Stock
2017-11-13+1,800→ 5,181.19 total
Exercise/Conversion
Common Stock
2017-11-14$88.71/sh+3,900$345,969→ 9,081.19 total
Exercise/Conversion
Stock Options (Right-to-buy)
2017-11-14−3,900→ 7,800 total
Exercise: $88.71Exp: 2026-11-14→ Common Stock (3,900 underlying)
Sale
Common Stock
2017-11-14$133.00/sh−3,900$518,700→ 5,181.19 total

Holdings

Footnotes (8)

[F1]Vesting of performance shares granted under the Company's Long-Term Incentives Plan ("LTIP").
[F2]Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of November 1, 2017.
[F3]Restricted stock units which generally vest in three substantially equal annual installments on the first three anniversaries of the Transaction Date subject to continued employment.
[F4]This transaction was pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
[F5]The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from $132.85 to $133.16, 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.
[F6]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 November 1, 2017.
[F7]Employee stock options granted pursuant to the Company's stock based plans.
[F8]The options vest in three substantially equal annual installments beginning 9 years prior to the option expiration date.

Documents

1 file