Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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Filed By Romeo & Dye's Instant Form 4 Filer
www.section16.net

1. Name and Address of Reporting Person*

BEALL, DONALD R.

2. Issuer Name and Ticker or Trading Symbol
ROCKWELL COLLINS, INC. (COL)

6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
X Director                                       10% Owner
    Officer (give title below)          Other (specify below)

                                                  

(Last)      (First)     (Middle)

5 CIVIC PLAZA, SUITE 320
 

3. I.R.S. Identification Number
of Reporting Person,
if an entity (voluntary)

 

4. Statement for
Month/Day/Year
01/16/03

(Street)

NEWPORT BEACH, CA 92660

5. If Amendment,
Date of Original
(Month/Day/Year)
 		 7. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

(City)     (State)     (Zip)

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date
(Month/ Day/
Year)

2A. Deemed
Execution
Date,
if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 & 5)

5. Amount of
Securities
Beneficially
Owned Follow-
ing Reported Transactions(s)
(Instr. 3 & 4)

6. Owner-
ship Form:
Direct (D)
or Indirect (I)
(Instr. 4)

7. Nature of Indirect
Beneficial Ownership
(Instr. 4)

Code

V

Amount

(A)
or
(D)

Price

Common Stock

1/16/03

 

M

 

87,600

A

$15.1609

 

 

 

Common Stock

1/16/03

 

S

 

1,400

D

22.31

 

 

 

Common Stock

1/16/03

 

S

 

4,300

D

22.30

 

 

 

Common Stock

1/16/03

 

S

 

200

D

22.29

 

 

 

Common Stock

1/16/03

 

S

 

4,500

D

22.28

 

 

 

Common Stock

1/16/03

 

S

 

6,200

D

22.27

 

 

 

Common Stock

1/16/03

 

S

 

1,100

D

22.26

 

 

 

Common Stock

1/16/03

 

S

 

9,600

D

22.25

 

 

 

Common Stock

1/16/03

 

S

 

1,600

D

22.08

 

 

 

Common Stock

1/16/03

 

S

 

1,000

D

22.07

 

 

 

Common Stock

1/16/03

 

S

 

1,000

D

22.06

 

 

 

Common Stock

1/16/03

 

S

 

3,400

D

22.05

 

 

 

Common Stock

1/16/03

 

S

 

1,500

D

22.03

 

 

 

Common Stock

1/16/03

 

S

 

2,000

D

22.02

 

 

 

Common Stock

1/16/03

 

S

 

4,600

D

22.01

 

 

 

Common Stock

1/16/03

 

S

 

45,200

D

22.00

 

 

 

Common Stock

 

 

 

 

 

 

 

17,354

D

 

Common Stock

 

 

 

 

 

 

 

85,262

I

Trustee--Family Trust

Common Stock

 

 

 

 

 

 

 

64,883.5154

I

By Savings Plan (1)
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 4(b)(v).

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FORM 4 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security

(Instr. 3)

2. Conver-
sion or
Exercise
Price of Derivative Security

3. Trans-
action Date

(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any
(Month/
Day/
Year)

4. Trans-
action
Code

(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4 & 5)

6. Date Exercisable
and Expiration
Date
(Month/Day/
Year)

7. Title and Amount of Underlying Securities
(Instr. 3 & 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported Transaction(s)
(Instr. 4)

10. Owner-
ship Form
of Deriv-
ative
Security:
Direct (D)
or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

Stock Option (right to buy)(2)

$22.0764

 

 

 

 

 

 

Current

12/6/05

Common Stock

318,351

 

318,351

D

 

Stock Option (right to buy)(2)

$27.8729

 

 

 

 

 

 

Current

12/9/06

Common Stock

269,739

 

269,739

D

 

Stock Option (right to buy)(2)

$25.0465

 

 

 

 

 

 

Current

6/26/08

Common Stock

737

 

737

D

 

Stock Option (right to buy)(2)

$28.6141

 

 

 

 

 

 

Current

2/3/09

Common Stock

985

 

985

D

 

Stock Option (right to buy)(2)

$30.1282

 

 

 

 

 

 

 (3)

2/2/10

Common Stock

985

 

985

D

 

Stock Option (right to buy)(2)

$15.1609

1/16/03

 

M

 

 

87,600

Current

6/30/03

Common Stock

284,248

 

196,648

I

Trustee-- Family Trust

Stock Option (right to buy)(4)

$22.3500

 

 

 

 

 

 

 (5)

7/5/11

Common Stock

150,000

 

150,000

D

 

Explanation of Responses:

(1) Shares represented by Company stock fund units under the Rockwell Automation, Inc. (ROK) salaried retirement savings plan, based on information provided by the Plan Administrator as of 12/1/02.
(2) Stock option, as amended if applicable, granted under the Rockwell Collins 2001 Stock Option Plan in connection with the 6/29/01 pro rata distribution by ROK to its shareowners of all of the issued and outstanding shares of Common Stock of Rockwell Collins.
(3) Options are currently exercisable as to 656 shares and become exercisable as to the remaining 329 shares on 2/2/03.
(4) Stock options granted under the 2001 Long-Term Incentives Plan.
(5) Options are currently exercisable as to 50,000 shares and become exercisable as to an additional 50,000 shares on each of 7/5/03 and 7/5/04.
  By: /s/ Gary R. Chadick
             Gary R. Chadick, Attorney-in-Fact
**Signature of Reporting Person		 01/17/2003
Date

**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.
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