4//SEC Filing
MATTAI NAN 4
Accession 0001137411-18-000128
CIK 0001137411other
Filed
Nov 27, 7:00 PM ET
Accepted
Nov 28, 7:06 PM ET
Size
18.0 KB
Accession
0001137411-18-000128
Insider Transaction Report
Form 4
MATTAI NAN
Sr VP, Engineering and Tech
Transactions
- Disposition to Issuer
Common Stock
2018-11-26−19,610→ 0 total - Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−14,600→ 0 totalExercise: $88.71Exp: 2026-11-14→ Common Stock (14,600 underlying) - Disposition to Issuer
Common Stock
2018-11-26−6,159.266→ 0 total(indirect: By Savings Plan) - Disposition to Issuer
Common Stock
2018-11-26−710→ 0 total(indirect: By IRA) - Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−10,300→ 0 totalExercise: $83.69Exp: 2024-11-17→ Common Stock (10,300 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−12,700→ 0 totalExercise: $86.75Exp: 2025-11-09→ Common Stock (12,700 underlying) - Exercise/Conversion
Phantom Stock
2018-11-26−7,907.499→ 0 total(indirect: By Non-Qualified Savings Plan.)→ Common Stock (7,907.499 underlying)
Footnotes (6)
- [F1]Includes (a) 12,416 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) 2,819 shares disposed of for Merger Consideration upon immediate vesting of FY'17-19 performance shares at target pursuant to the Merger Agreement and (c) 1,750 restricted stock units and 2,625 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 reporting person's account under the Savings Plan.
- [F3]Disposed of for Merger Consideration to be received by a self-directed IRA.
- [F4]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.
- [F5]Represents phantom shares of the common stock held in the Issuer's 2005 non-qualified savings plan (1) by the reporting person exchanged for a number of deferred UTC stock units based upon the Equity Award Exchange Ratio (as set forth in the Merger Agreement) with respect to 7,907.4985 shares and (2) by the reporting person's spouse disposed of for a cash payment based upon the value of the Merger Consideration (as set forth in the Merger Agreement) with respect to 186.6380 shares.
- [F6]The price varies based on the date the phanton stock was credited.
Documents
Issuer
ROCKWELL COLLINS INC
CIK 0001137411
Entity typeother
Related Parties
1- filerCIK 0001305744
Filing Metadata
- Form type
- 4
- Filed
- Nov 27, 7:00 PM ET
- Accepted
- Nov 28, 7:06 PM ET
- Size
- 18.0 KB