MAHONEY COLIN R 4

Accession 0001137411-18-000127

CIK 0001137411other

Filed

Nov 27, 7:00 PM ET

Accepted

Nov 28, 7:06 PM ET

Size

22.5 KB

Accession

0001137411-18-000127

Form 4

Period: 2018-11-26

Sr. VP International & Service

Transactions

Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−7,240→ 0 total
Exercise: $54.37Exp: 2022-11-12→ Common Stock (7,240 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−12,900→ 0 total
Exercise: $70.97Exp: 2023-11-11→ Common Stock (12,900 underlying)
Exercise/Conversion
Phanton Shares
2018-11-26−361.995→ 0 total(indirect: By Non-Qualified Savings Plan)
→ Common Stock (361.995 underlying)
Disposition to Issuer
Common Stock
2018-11-26−24,696→ 0 total
Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−8,200→ 0 total
Exercise: $61.40Exp: 2023-04-16→ Common Stock (8,200 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−13,900→ 0 total
Exercise: $88.71Exp: 2026-11-14→ Common Stock (13,900 underlying)
Disposition to Issuer
Common Stock
2018-11-26−3,690.932→ 0 total(indirect: By Savings Plan)
Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−12,200→ 0 total
Exercise: $83.69Exp: 2024-11-17→ Common Stock (12,200 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−13,400→ 0 total
Exercise: $86.75Exp: 2025-11-09→ Common Stock (13,400 underlying)

Footnotes (5)

[F1]Includes (a) 18,581 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) 2,678 shares disposed of for Merger Consideration upon immediate vesting of FY'17-19 performance shares at target pursuant to the Merger Agreement and (c) 1,375 restricted stock units and 2,062 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).
[F2]Disposed of for Merger Consideration to be received by the Savings Plan.
[F3]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.
[F4]Represents phantom shares of common stock held in the Issuer's 2005 non-qualified savings plan exchanged for a number of deferred UTC stock units based upon the Equity Award Exchange Ratio (as set forth in the Merger Agreement).
[F5]The price varies based on the date thie phantom stock was credited.

Documents

1 file

ROCKWELL COLLINS INC

CIK 0001137411

Entity typeother