4//SEC Filing
NIEUWSMA DAVID J 4
Accession 0001137411-18-000129
CIK 0001137411other
Filed
Nov 27, 7:00 PM ET
Accepted
Nov 28, 7:07 PM ET
Size
16.1 KB
Accession
0001137411-18-000129
Insider Transaction Report
Form 4
NIEUWSMA DAVID J
SENIOR VICE PRESIDENT
Transactions
- Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−2,167→ 0 totalExercise: $86.75Exp: 2025-11-09→ Common Stock (2,167 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−7,800→ 0 totalExercise: $88.71Exp: 2026-11-14→ Common Stock (7,800 underlying) - Disposition to Issuer
Common Stock
2018-11-26−417.842→ 0 total(indirect: By Savings Plan) - Disposition to Issuer
Common Stock
2018-11-26−10,536→ 0 total - Exercise/Conversion
Stock Option (Right to Buy)
2018-11-26−2,134→ 0 totalExercise: $93.99Exp: 2026-04-20→ Common Stock (2,134 underlying) - Exercise/Conversion
Phanton Stock
2018-11-26−98.148→ 0 total(indirect: By Non-Qualified Savings Plan)→ Common Stock (98.148 underlying)
Footnotes (5)
- [F1]Includes (a) 5,281 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) 2,255 shares disposed of for Merger Consideration upon immediate vesting of FY'17-19 performance shares at target pursuant to the Merger Agreement and (c) 1,200 restricted stock units and 1,800 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]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 the common stock held in the Issuer's 2005 non-qualified savings plan exchanged for a cash payment based upon the value of the Merger Consideration (as set forth in the Merger Agreement).
- [F5]The price varies based on the date the phantom stock was credited.
Documents
Issuer
ROCKWELL COLLINS INC
CIK 0001137411
Entity typeother
Related Parties
1- filerCIK 0001672811
Filing Metadata
- Form type
- 4
- Filed
- Nov 27, 7:00 PM ET
- Accepted
- Nov 28, 7:07 PM ET
- Size
- 16.1 KB